This Series 26 candidate had been running an independent office of an insurance company that offered variable annuities and mutual funds to clients. This series 26 candidate found herself caught up in what she called a “big push” by her firm to get everyone Series 26 licensed. This Series 26 candidate had built a considerable book of business and was running a very successful office and had a challenge trying to focus on the Series 26 exam. Her Series 26 exam prep consisted of reading “most” of the book and taking practice questions over and over. She did not pass on the first attempt and scored a 63% on the Series 26 exam. Her firm had drawn a line in the sand as to a date when all agents of certain level must be Series 26 licensed. That date was now quickly approaching for this Series 26 candidate and she had to retest immediately.

Solution

One of our Series 26 tutors who has experience as compliance officer and as a mutual fund wholesaler spoke to the Series 26 candidate and began to construct a game plan for her to pass the Series 26 exam. After speaking with the candidate and evaluating her test scores from the exam center, this Series 26 candidate was assigned chapter readings and advised that there was no short cut to reading the Series 26 book. She was given a study calendar and required to finish reading the book completely prior to meeting with our Series 26 tutor. As part of her comprehensive training plan phone calls were scheduled to review her progress and to provide the candidate with the opportunity to ask comprehensive questions. Once her reading and her study calendar were completed two four hour review sessions were then scheduled at the candidate’s location. These sessions were intensive reviews and designed to ensure that she passed the Series 26 exam. The candidate took her exam several days later and passed the Series 26 exam with a score of 81%, two weeks before her required date.