Series 66 Exam Prep Products

Deciding to sit for the Series 66 is a big undertaking. This exam is not easy to prepare for and for most candidates failing is not an option. This is why it’s so important that you are using the very best preparation materials on the market. Our series 66 prep materials are known to drive the highest pass rates in the industry. The approach is simple. We don’t want you to be overwhelmed, we want you to absorb this material and master these new concepts as you work towards passing the Series 66 exam. Keep in mind that we are the authors of our materials. This means you are buying straight from the source and have the advantage of our expertise right from the very beginning. Have a question? Then please feel free to contact us at any time. We would love hear from you! Our Series 66 exam prep materials boast the highest pass rates in the industry and will guide you through your entire exam prep process. Our Wiley exam review guides are the very high quality you would expect from the world’s largest publisher of financial information. Ensure you are ready to pass your Series 66 exam with our best in class Series 66 exam training materials. Our series 66 GreenLight exam is the perfect way to top off your series 66 exam preparation. Our Series 66 materials now come with our Series 66 money back GreenLight Guarantee ™ – pass our GreenLight exam within 5 days of your actual exam, and if you do not pass, we will refund your money.

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  Note:  We are the authors of the Wiley exam prep products so you are buying directly from the source! Please call us with quesitons, we will help you find the answers you need.
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This is our most comprehensive series 66 training solution. Everything you need to pass the series 66 exam, Complete with our series 66 money back GreenLight Guarantee! Purchase all the Series 66 products in one package and save big. If you are serious about passing the Series 66 exam, then this package is for you. It includes ALL of the following exam preparation products:

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Series 66 Licensing Exam Prep Products

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Our all new series 66 video class is hands down the best series 66 online class in the market today. Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight test points for easy note taking. This video class walks you through all of the topics you need to know to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 66 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 66 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 66 video features include: 1) 7 hours of HD video broken into 7 sections 2) More than 3 hours on customer recommendations and rules and regulations 3) Our videos are accessible on all devices ( all computers, phones and tablets) 4) Our series 66 video class contains new test tips and details exactly what topics are being tested and how they are being tested 5) Our series 66 video course follows our books chapter by chapter and topic by topic 6) 7 Chapter Tests 7) Instant unlimited access 24X7 for 6 months

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  • Paperback
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The "go to guide" to acing the Series 66 exam - Our Series 66 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 66 exam. The Wiley Series 66 textbook is packed with test tips, Series 66 sample questions and all the must know information you need to pass your exam. Our Series 66 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best Series 66 material.

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Series 66 Combination Packages

All of our combination packages are discounted. Check out the prices! Purchase one of the following combination packages if you are really serious about passing your exam in the quickest possible time.

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Series 66 License Frequently asked questions / FAQs

There are a large number of reason why candidates seek to become series 66 licensed. Perhaps you are one of the many who are entering the financial services business for the first time and are just starting out in a new career. Others are more established financial service professionals and want to expand their business to include both brokerage and investment advisory services. A series 66 license is one way for a registered representative to meet the licensing requirement to offer managed account platforms to clients. Many managed accounts charge asset based fees and allow agents to participate in those fees. As such, these representatives must pass the series 66 licensing exam. Your firm’s compliance department, home office or HR will notify individuals directly or through their manager as to the time frame for taking the exam

A series 66 license from NASAA’s point of view will allow you to become registered as both an investment adviser representative and as a registered representative of a broker dealer. This license will allow you to represent an investment advisory firm offering advice to clients regarding the purchase and sale of securities, the value of securities and or in the creation of financial plans. Investment advisers offer advice to clients for a fee, and the series 66 license will allow you to share in the fees charged by the advisory firm. The vast majority of these fees are charged as a percentage of assets in the client’s account, known as assets under management or AUM. Advisory firms may also charge other fees in the form of hourly fees, subscription fees for news letters or a flat fee for the creation of a financial plan. Regardless of how your advisory firm charges fees, a series 66 license will be required. Your series 66 license will also allow you to function in the capacity of a registered representative of a broker dealer and to earn commissions when executing orders for stock, bonds, ETFs or mutual funds. The series 66 combines the content from the series 63 and series 65 exams and allows the agent to function in a dual capacity.

The series 66 exam has the benefit of combining two tests into one and as such it presents challenges for most test takers . The information tested covers complex topics. A number of these topics are new for most people. The powers of the state securities administrator and the Uniform Securities Act are the state based laws and regulations that most people find challenging . After knowing that an agent needs to be registered in the states where they conduct business most people never deal with the other registration matters tested on the exam. Portfolio management, client recommendations and strategies and general knowledge of securities will also be heavily tested. To pass the exam and become series 66 licensed you must demonstrate that you have mastered these areas. Every person who sits for the series 66 exam is coming from a different background. What one person finds easy to master, another may find very challenging. Most people find the content relating to agent and adviser registration, and the areas relating to the application of the Uniform Securities Act to be among the most difficult. You should prepare for the exam by reading a textbook completely with a highlighter. Take notes and work through the more difficult topics. Some of the question on the series 66 exam are hard but with careful preparation you will be successful. We cannot stress enough that you must read the book, there are no shortcuts and students need to understand this. You must clear your schedule, shut off your phone and focus. In addition to obtaining the knowledge required by the exam, you must master the application of the information by taking as many practice questions as you can. We recommend at least 60 – 70 hours of preparation to ensure you pass your series 66 exam and become licensed to represent a broker dealer and a registered investment adviser.

The answer is, that while it feels like your series 66 license is indeed transferable, in actuality it is not. If you want to change firms, your series 66 registration / license along with all of your other registrations must be terminated by your employer. With a series 66 license you are most likely working at a firm that is registered as both a FINRA broker dealer and as a registered investment adviser. Since you are registered at a FINRA member firm, Your former employer / the firm that you are leaving will fill out and submit a Form U5 to FINRA. This will terminate your employment and your registration with that firm. When you arrive at your new firm you must fill out and submit a new Form U4. This will begin your registration with your new firm and your series 66 license, along with your other registrations, will become active at your new firm upon receiving notice from FINRA and the states where you conduct business. Your license will only become effective once you have received notification from each state where you plan to conduct business, that you license has become effective.

Obtaining a series 66 license is an investment in professional development. You will be required to invest your time and some candidates will be required to pay for the costs. Your series 66 license will qualify you to function as a agent of a broker dealer and as an investment adviser representative. It does not make you a stockbroker or a registered investment adviser or RIA. Only the firm you work for will be the stockbroker or registered investment adviser. Many people who obtain a series 66 license enjoy lucrative and successful careers in the financial services industry. The good news is, for those who absorb the costs, they are relatively low when compared to other types of training, certification and college expenses. Some employers pick up or reimburse the costs of training and the testing and registration fees. Even for these people many obtain additional resources such as additional test questions, books or videos to ensure they pass their exam and become licensed. For those who have to pay all of the expenses out of pocket, it usually only costs a few hundred dollars for the testing fees and quality training materials. . You will find that obtaining a series 66 license opens many doors for you throughout your career.

While NASAA, the North American Securities Administrators Association is contemplating enacting continuing education requirements for investment adviser representatives, at the present time there are no continuing education requirements. That being said, if you hold a FINRA license such as the series 7, you will be required complete the FINRA mandated continuing education requirements for that license.

Your series 66 license allows you to register as an agent for both a broker dealer and a registered investment adviser. The series 66 by itself will not allow you to conduct any business. You must also obtain the series 7 license. The series 7 is the co-requisite for the series 66. You may take either exam first. However, you will not be allowed to conduct business until you have obtained a series 7 and series 66 license. We hope that this answers many of your frequently asked questions about the series 66 license. If you have any additional questions please call or email us.

 

Good luck on your exam.

 

The Securities Institute of America, Inc

Series 66 Important Concepts

Modern Portfolio Theory

As money management developed over the last century, analysts began to shift their focus from the returns available from individual investments to the returns available from an entire portfolio. This approach became known as modern portfolio theory. Modern portfolio theory is based on the concept that investors are risk adverse. Through diversification of investments and asset classes, portfolios can be constructed with higher levels of expected return for each unit of risk assumed. Asset classes are divided into three main categories, stocks, bonds, and, cash and cash equivalents. Portfolio managers, through modern portfolio theory, can construct portfolios based on various allocations over the three main asset classes whose return will be the greatest given each unit of risk.

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The Role of the Investment Adviser

An investment adviser charges a fee for his or her services for advising clients as to the value of securities or for making recommendations as to which securities should be purchased or sold. Unlike a broker dealer, the investment adviser has a contractual relationship with his or her clients and must always adhere to the highest standards of professional conduct.

Additional Compensation for an Investment Adviser

In addition to the fees charged by an investment adviser, an investment adviser may also:

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Prior to conducting business in any state, a broker dealer must be properly registered or exempt from registration in that state. The first test when deciding if the broker dealer must register is determining if the firm has an office in the state. If the firm maintains an office within the state it must register with that state. An agent must register in their state of residence even if their firm is located in another state.

Example:
An agent who lives in New Jersey and who commutes to their office in New York must register in both New Jersey and New York.

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Introduction

The state securities administrator has the authority to enforce all of the provisions of the Uniform Securities Act (USA) within their state. The state securities administrator may deny, revoke, or suspend the registration of a security, an agent, or a firm. The administrator may also revoke an exemption from registration, subpoena and investigate any registrant, and amend rules as required. The North American Securities Administrators Association or NASAA is the oldest investor protection organization in the country and represents the interest of all of the state securities administrators. NASAA also writes policies and administers the series 63, 65, and 66 exams.

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