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   Number 1: Financial Planning Certification Exam Lesson Podcast: A new Podcast Introduction

   Introduction Financial Planning Certification Exam Lessons is our new series of lessons to help in preparing for the Financial Planning Certification Exam. Our new podcast is your ultimate destination for mastering the essential concepts needed to excel in the financial planning certification exam. Throughout each engaging episode, our expert hosts delve into a diverse range of topics crucial for mastering the exam. From investment strategies to retirement planning, tax optimization, and estate planning, we cover all facets of financial planning to ensure you have a well-rounded understanding of the field. Our commitment to delivering high-quality content is evident in the meticulous attention to detail we put into crafting each lesson. By breaking down complex concepts into easily understandable segments, we strive to make the learning process both enjoyable and effective for our audience. At the core of our podcast is a focus on Financial Planning Certification. We understand the importance of repetition and reinforcement in learning, which is why these lessons are seamlessly integrated throughout every episode. By revisiting key principles and concepts multiple times, we aim to solidify your understanding and enhance your retention of critical information. Whether you’re a seasoned financial professional looking to expand your expertise or a newcomer preparing to enter the field, “The Financial Planning Lesson Podcast” has something valuable to offer you. Our content is designed to meet the needs of learners at all stages of their financial planning journey, providing actionable insights and practical strategies that can be applied in real-world scenarios. Embark on your path to mastery today with “The Financial Planning Lesson Podcast.” Tune in to discover how our targeted lessons can accelerate your progress and empower you to achieve your professional goals. With our guidance and support, you’ll be well-equipped to tackle the exam and unlock exciting opportunities in the dynamic world of financial planning. Here is the link to the Financial Planning Certification Exam Lesson website The post Financial Planning Certification Exam Lesson Podcast: A new Podcast Introduction appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.

   September 24, 2024·2min
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   Number 2: Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3

   Series 65 Exam Quiz Mutual Funds 3 This is a Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3: a free quiz for Series 65 Exam Quiz Mutual Funds 3 which is covering mutual funds pt 3 . Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2 Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3 covering more fundamentals of mutual funds you need to understand for the Series 65 Exam Below are questions based on the lesson 26 of the series. Choose the letter of the correct answer. Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3 1. Which of the following is true about hedge funds? (Select all that apply.) A. They are not allowed to cut off withdrawals by their investors. B. They are open to any kind of investor. C. They charge a management fee. D. They have a cap on the amount that is available to be withdrawn at any given time. 2. What is the minimum capital for a hedge fund? A. $100,000 B. $200,000 C. $500,000 D. $1,000,000 3. Which of the following is qualified as an accredited investor according to the Securities Act of 1933? (Select all that apply.) A. a bank B. a charitable organization with a total asset of $5 million C. a trust with a total asset of $10 million D. an employee benefit plan that has a total asset of $3 million 4. A business is qualified to be an accredited investor if all its equity owners are accredited investors. A. True B. False 5. A natural person can be an accredited investor if that person ___. (Select all that apply.) A. has an income exceeding $200,000 in each of the two most recent years and a reasonable expectation of the same income level in the current year B. has individual net worth that exceeds $1 million including the value of the primary residence of such person C. has a joint income with the spouse exceeding $200,000 in each of the two most recent years and a reasonable expectation of the same income in the current year D. has a joint net worth with the person’s spouse that exceeds $1 million excluding the value of the primary residence of such person 6. The performance of a hedge fund is always better than the market. A. True B. False 7. Which of the following strategies does a hedge fund employ? (Select all that apply.) A. global macro hedge fund strategy B. relative value arbitrage C. high-frequency trading D. currency strategies 8. A mutual fund’s annual and semiannual report has an income statement similar to a regular corporate income statement. A. True B. False 9. Which of the following can be found in a mutual fund’s income statement? (Select all that apply.) A. dividends B. capital gains C. expenses D. net income 10. Which of the following is true about expense ratio? (Select all that apply.) A. It applies to closed-end funds but not to open-end funds. B. It gives an overall look at how much it costs to pay the management to buy the stocks instead of buying it yourself without paying any management fee. C. It is the total net assets divided by the total expenses. D. It shows the efficiency of the fund. 11. If you’re buying a fund at a very big discount but has a very high expense ratio, the discount you’re buying those stocks may disappear. A. True B. False 12. An investment company should distribute at least ___ of its income in order to be regulated under the Investment Company Act of 1940. A. 80% B. 85% C. 90% D. 95% 13. If an investment company is not regulated under the Investment Company Act of 1940, ___. A. it becomes taxed as a regular corporation B. it has to pay an additional tax equivalent to 2% of the total capital gains C. it will require double management fees D. its net pass is not taxed 14. Investment companies can pass through capital gains ___. A. monthly B. quarterly C. semiannually D. at the end of the year 15. An investor buying a mutual fund at the end of the year will not be paying taxes if he has not made any money in the fund. A. True B. False 16. It is a type of mutual fund having a portfolio that is constructed to mimic the market index. A. closed-end fund B. exchange traded fund C. index fund D. open-end fund 17. These funds are traded as regular stocks on the stock exchange, but move throughout the day. A. closed-end fund B. exchange traded fund C. index fund D. open-end fund 18. As an investor in a fund or in a management company, you have the right to ___. (Select all that apply.) A. receive annual and semiannual reports B. vote annually on the investment adviser contract C. vote every year on the board of directors D. vote on any changes in the investment objectives 19. In an investment company, ___ of the directors must be non-interested. A. 75% B. 80% C. 85% D. 90% 20. In a dollar cost averaging, when the price of the stock goes up, ___. A. you’re buying fewer shares on any given month B. you’re buying more shares on any given month C. you’re buying the same number of shares on any given month D. you cannot buy any shares until the price of the stock returns to market price https://traffic.libsyn.com/secure/stockanalystpodcast/Series_65_Quiz_37_Options_Pt_4_01.mp3 Series 65 vs Series 66 Exam The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products. Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared! The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam. Our other website s for FINRA and other certification Exams include: https://www.siepodcast.com https://www.series7podcast.com https://series66podcast.com https://series65podcast.com https://www.series7podcast.com https://series6lessons.com https://series22podcast.com https://insuranceexampodcast.com https://www.siepodcast.com https://series79podcast.com https://insuranceexampodcast.com https://www.reexampodcast.com/ The post Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.

   April 16, 2024·14min
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   Number 3: Series 65 Exam Free Audio Lesson 4 2024

   Series 65 Exam Free Audio Lesson 4 2024 Series 65 Exam Free Audio Lesson 4 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becoming an Investment Advisor Representative (IAR) Sometimes called the IAR in a box Unlike the Series 66 Exam the Series 65 exam does not have the Series 7 Requirement The Series 65 unlike broker-dealer exams (think the Series 7 Exam) the Series 65 Exam requires no company sponsor. When taking the Series 65 to join an RIA firm as a IAR, candidates must complete the exam within 180 minutes. A passing score is 72%, which translates to correctly answering 94 of the 130 scored questions. The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. But this is a TOUGH exam, many people do not pass on the first try. The test covers financial industry regulation, securities law, ethics, investments and economics. All these topics factor into a financial advisor’s day-to-day work. Most candidates devote considerable time to studying for the Series 65. Different States have different requirements in become an Investment Advisor Representative (IAR) so check your states department of securities licensing to find out its requirements. Series 65 vs Series 66 Exam The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products. Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared! The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam. Our other website s for FINRA and other certification Exams include: https://www.siepodcast.com https://www.series7podcast.com https://series66podcast.com https://series65podcast.com https://www.series7podcast.com https://series6lessons.com https://series22podcast.com https://insuranceexampodcast.com https://www.siepodcast.com https://series79podcast.com https://insuranceexampodcast.com https://www.reexampodcast.com/ The post Series 65 Exam Free Audio Lesson 4 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.

   February 06, 2024·34min
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   Number 4: Series 65 Podcast Logan Keller Interview

   Series 65 Podcast Logan Keller Interview From Apache Helicopter Pilot to Financial Advisor: The Journey of Logan Keller In the world of finance, career trajectories often follow conventional paths through business schools and internships. However, every so often, there emerges an individual whose journey into the financial realm takes a unique and unexpected route. Logan Keller is one such individual whose story is as inspiring as it is unconventional. Logan Keller, a graduate from the University of North Dakota, began his professional journey with a dream to serve his country. After completing his education, he embarked on a path that led him to become an Apache helicopter pilot in the U.S. Army. His dedication and commitment to service were unwavering until an unforeseen injury altered the course of his life. Following his medical discharge from the army, Logan found himself at a crossroads, searching for a new purpose and direction. It was during this period of transition that he discovered his interest in financial products, an interest that would ultimately shape his future career path. Driven by a newfound passion, Logan delved into the world of finance with vigor and determination. He recognized the importance of acquiring the necessary knowledge and credentials to thrive in the industry. With this goal in mind, he turned to audio lessons to supplement his learning and prepare for the rigorous examinations ahead. His journey toward becoming a Registered Investment Advisor (RIA) was marked by perseverance and a relentless pursuit of excellence. Logan dedicated himself to mastering the intricacies of financial markets and investment strategies, undertaking the challenging Series 7 and Series 66 exams with diligence and determination. In a recent interview, Logan Keller shared insights into his remarkable journey and the lessons he has learned along the way. When asked about the transition from military service to the financial services industry, Logan reflected on the parallels between the two seemingly disparate worlds. Both the military and finance demand discipline, adaptability, and a willingness to embrace challenges. While the nature of the work may differ, the principles of leadership and resilience remain constant. Logan’s military background imbued him with a sense of duty and a commitment to excellence that continues to drive his success in the financial arena. His ability to navigate complex situations with composure and clarity of purpose sets him apart as a formidable force in his field. As Logan embarks on this new chapter of his professional journey as an RIA agent, he remains steadfast in his commitment to serving his clients with integrity and expertise. His unique blend of military discipline and financial acumen positions him as a trusted advisor and advocate for those seeking to secure their financial futures. In an industry often characterized by its complexities and uncertainties, Logan Keller stands as a beacon of inspiration for aspiring professionals and seasoned veterans alike. His journey serves as a testament to the power of resilience, adaptability, and unwavering determination in the pursuit of one’s passions. As Logan continues to chart his course in the world of finance, one thing remains abundantly clear: his unwavering commitment to excellence and his steadfast dedication to making a meaningful difference in the lives of those he serves will undoubtedly shape the trajectory of his future endeavors. In the ever-evolving landscape of finance, Logan Keller’s journey serves as a poignant reminder that true success is not defined by the paths we tread, but by the resilience and determination with which we navigate them. Series 65 vs Series 66 Exam The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products. Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared! The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam. Our other website s for FINRA and other certification Exams include: https://www.siepodcast.com https://www.series7podcast.com https://series66podcast.com https://series65podcast.com https://www.series7podcast.com https://series6lessons.com https://series22podcast.com https://insuranceexampodcast.com https://www.siepodcast.com https://series79podcast.com https://insuranceexampodcast.com https://www.reexampodcast.com/ The post Series 65 Podcast Logan Keller Interview appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.

   January 30, 2024·49min
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   Number 5: Series 65 Exam Free Audio Lesson 3 2024

   Series 65 Exam Free Audio Lesson 3 2024 Series 65 Exam Free Audio Lesson 3 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becoming an Investment Advisor Representative (IAR) Sometimes called the IAR in a box Unlike the Series 66 Exam the Series 65 exam does not have the Series 7 Requirement The Series 65 unlike broker-dealer exams (think the Series 7 Exam) the Series 65 Exam requires no company sponsor. When taking the Series 65 to join an RIA firm as a IAR, candidates must complete the exam within 180 minutes. A passing score is 72%, which translates to correctly answering 94 of the 130 scored questions. The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. But this is a TOUGH exam, many people do not pass on the first try. The test covers financial industry regulation, securities law, ethics, investments and economics. All these topics factor into a financial advisor’s day-to-day work. Most candidates devote considerable time to studying for the Series 65. Different States have different requirements in become an Investment Advisor Representative (IAR) so check your states department of securities licensing to find out its requirements. Series 65 vs Series 66 Exam The Series 65 exam is designed for those who do not have a Series 7 license. The content of both exams are similar though the Series 65 will be more heavily concentrated on Investment products and economics (like you would need to learn for the SIE and Series 7 Exam). … The Series 66 exam has a little more State law (such as what you will find in the Series 63 Exam) and some esoteric investment products. Our audio lessons for both the Series 65 and Series 66 cover the material you would need to learn for the SIE and Series 7 exam so it may be a little more than you need for the Series 66 but we want you to be fully prepared! The only difference between the two series of exam lessons (the 65 and 66) is that the Series 66 exam also covers the material needed for the Series 63 exam. Our other website s for FINRA and other certification Exams include: https://www.siepodcast.com https://www.series7podcast.com https://series66podcast.com https://series65podcast.com https://www.series7podcast.com https://series6lessons.com https://series22podcast.com https://insuranceexampodcast.com https://www.siepodcast.com https://series79podcast.com https://insuranceexampodcast.com https://www.reexampodcast.com/ The post Series 65 Exam Free Audio Lesson 3 2024 appeared first on Series 65 Prep Audio Lessons for the FINRA Series 65 Exam.

   January 30, 2024·36min
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