Financial Advisor

  1. Six Things Bad Financial Advisors Do

    Six Things Bad Financial Advisors Do

    So you've gone to the trouble and expense of hiring a financial adviser. Here's how ...
  2. Will ETFs Eventually Replace Mutual Funds?

    Will ETFs Eventually Replace Mutual Funds?

    Will mutual funds be replaced by ETFs? Possibly, but it's not too likely and probably ...
  3. Fee-Only Financial Advisers: What You Need To ...

    Fee-Only Financial Advisers: What You Need To ...

    Are you considering hiring a fee-only financial advisor or one who is compensated ...
  4. 5 Biggest Money Mistakes & How To Fix Them Fast

    5 Biggest Money Mistakes & How To Fix Them Fast

    Financial mistakes - like most mistakes in life - can generally be avoided with forethought, ...
  5. 7 Steps To Evaluate A Financial Adviser

    7 Steps To Evaluate A Financial Adviser

    Looking to hire a financial advisor but unsure what you want or need? Follow these ...
  6. 5 Banking Fees That Are Actually Worth Paying

    5 Banking Fees That Are Actually Worth Paying

    In finances, "fee" is a like a three-letter bad word, the opposite of what personal ...
  1. An IA’s client has a primary goal of tax reduction and a secondary goal of current ...

    a. Treasury STRIPS b. Growth stocks c. Fixed annuities d. Municipal bonds Answer: DFixed annuities, growth stocks and STRIPS ...
  2. How quickly should my financial advisor sell a stock that I have asked him or her ...

    Financial advisors and planners have fiduciary responsibilities to their investors. They owe their investors a high degree ...
  3. The de Minimis clause for investment advisers means:

    A. An investment adviser must register with the state if it holds less than $25 million in assets.B. An investment adviser ...
  4. Your client has a net short-term gain of $3,000 and a net long-term loss of $8,0 ...

    I. The short-term gain is fully taxableII. $3,000 of capital loss is deductible against earned incomeIII. There is a long-term ...
  1. Series 99

    FINRA/NASAA Series 99 Exam Guide
  2. Series 24

    FINRA/NASAA Series 24 Exam Guide
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