Series 7 & 66
Hello, I am looking for inputs on which course materials helped you pass. Has anyone used WSO's s7 prep course?
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ksangmin, bummer your thread hasn't had a response yet. Maybe one of these threads could point you in the right direction:
More suggestions...
You're welcome.
Thank you so much, I've pretty much read all those threads and heard mixed reviews. WSO has a Series 7 exam prep course, and I was wondering if its comparable, if not better than other products out there.
Robert Walker's "Pass the" series is pretty good. I used it for the Series 65 and got the highest score at my firm. The 7 and 66 versions are called Pass the 7 and Pass the 66.
Thank you! Ill do my research
Series 7 & 66 Help Please (Originally Posted: 11/14/2017)
What exactly can you do and not do with or without the Series 7 and 66? For example, can you speak with clients about performing administrative updates on their portfolios without either? Also, are you allowed to inform them of a broad overview of how their investments are performing without going into detail or providing advice?
If you are speaking to clients about their portfolio updates, or talking about performance (no matter how broad) you probably need to be licensed. Even most assistants or junior client service people in PWM groups that I work with are all fully licensed, just in case. Just get them it's not too painful!
What are administrative updates? Regardless, if you make security recommendations, provide any advice or guidance on existing holdings, provide any type of overall portfolio analysis or advice....you need to be licensed. Series 7 if you are operating as a broker, Series 66 if you are operating in a fee based, advisory capacity.
You can go to the FINRA website and it will explain everything.
I was referring to address updates or changes in beneficiaries on the accounts for admin duties. So you can't do that or even advise them on liquidity concerns on their investments? Literally everything is against regulations?
Would I even need a Series 7/66 for these jobs? (Originally Posted: 02/20/2013)
If I'm looking to get into entry roles at either PWM, F500 Corp Fin, AM, and commercial banking -- would I need the Series 7/66 at all?
Reason being is that I'm being sponsored currently to take them, but being a broker isn't necessarily what I want to do, I want to do one of the roles listed above.
Thanks in advance!
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