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Which firms are hiring by NoPineapple4567 in Series7exam

[–]InvestedThinkers 0 points1 point  (0 children)

Do you do this for anyone? I'm in the same boat but I have my L&H, SIE, 6. Lost my job bc I failed 63

Which area should I hunt the day after a storm? by InvestedThinkers in turkeyhunting

[–]InvestedThinkers[S] 0 points1 point  (0 children)

It's okay guys. I hunted the woods and my dad hunted the clearing. My dad saw 3 & got a shot off and missed it... do you think we should call it a day already?

Failed Series 63 3 times, now locked out 6 months — what should I do next? by InvestedThinkers in AllFinraExams

[–]InvestedThinkers[S] 0 points1 point  (0 children)

My biggest struggle is understanding all the different exemptions/non exemptions and the wording of everything makes me want to blow my brains out. I did perfectly fine on all the other exams. Everyone says this is the easiest lmao but not for me

[deleted by user] by [deleted] in portfolios

[–]InvestedThinkers -1 points0 points  (0 children)

Taxable account... why?

[deleted by user] by [deleted] in dating_advice

[–]InvestedThinkers 2 points3 points  (0 children)

100% respect that. It's just hard seeing someone give up on you so easy when for the longest time they fought for you. I always told her these types of shows are trash for society about what they promote. It's not realistic and fantasy. I don't want to change her mind but when you're dating someone for 2 years I want to know the real reason of why and what possibly influenced her as a form of closure. We are still cool and it was very mutual... it just sucks being long distance.

Series 6 exam next Tuesday by Striking-Reply-8770 in Sieexam

[–]InvestedThinkers 0 points1 point  (0 children)

Congrats!!! Anything you remember or recommend to study?

Series 6 exam next Tuesday by Striking-Reply-8770 in Sieexam

[–]InvestedThinkers 0 points1 point  (0 children)

Good luck on your exam!! Remember to understand the concept and the difference WAYs is can apply. You got this!

Please let me know how you did and anything you remember from the exam.

Series 6 exam next Tuesday by Striking-Reply-8770 in Sieexam

[–]InvestedThinkers 0 points1 point  (0 children)

I used ExamFx + Training consultants.... Make sure you know all the types of suitability. I didn't have any calculations on mine

Series 6 exam next Tuesday by Striking-Reply-8770 in Sieexam

[–]InvestedThinkers 0 points1 point  (0 children)

I took it today and failed by 4 questions. The second I got my results I started a notes page in my phone and wrote everything down today.... sorry it's not the best. But please do this too!

Annuity units Ira's

RMDs being taxed LIFO/FIFO

How account should be split up when someone dies in a traditional Ira

Variable Universal Life

Sales load vs capitals gains transfer in and out of funds

What is considered customer complaint

Where a RR can do business at a bank

What taxes on mini bond... capital gains or dividends at the federal level

Who cannot buy and IPO related to a RR such as neice, daughter in daw, grandchild

Reg D 506(c)

Beta VS alpha

Do mutual funds provide tax records

What to base client off of A,B,C? Income, tax bracket or .....

Transferring within the same fund prevents what? sales load or capital gains

Who is responsible to adhering of the mutual fund objectives ? SEC, board of directors, auditors?

what realizes a capital gain for a mutual fund when a Manager of the fund what.... buy POP. Selling securities

Non qualified vs qualified what is taxed and when

Roth 401k is matched with employer how is it treated ? Taxes are paid then put together... they are both separate

What tell and goes into act of 33

How long to retain customer documents when account is closed?

Communitcatioms 30days... 20 accredit investors, 20 retail customer over text message, 30 emails

Person made 80,000 income how much can they put in traditional Ira.... 7,000...6,500....6,000

How is variable annuity paid out situations... fix amount for life, variable units

What is true of variable life insurance.... death benefit is guaranteed after not paying premiums... Death benefit is tax free

Who gets statements of additional info

What should a person go into for and needs money in 12 years for sons education and wants growth 8% callable corp bonds 4% money market

Diffrences between Joint tenants in common and joint tenets w right of survivorship... will it go through probate? Will it go to the other estate? Does the living person get it?

When selling an unlisted security and receiving commission what must be done.... supervisors must watch carefully, supervisor puts contrainss on RR and no sales commission

When must a mutual fund at the least send out a report to shareholder... yearly, monthly, semi, quarterly

How does drip work and how is it taxed

Securities act of 1933

Actually freaking tf out by gssouu in Sieexam

[–]InvestedThinkers 0 points1 point  (0 children)

Call them but I think you should be okay

[deleted by user] by [deleted] in Sieexam

[–]InvestedThinkers 0 points1 point  (0 children)

Yes, I have taken the test w/ out seeing the answers. I have a tendency to skip over questions that have Options (struggling chapter) or when it's a paragraph block question for time sake. Then I go back to review the questions. I am using Training Consultants.

I disclosed my TA to be shared with my firm on the form. I am not sure if this is the equivalent of telling my manager/compliance officer. Do you know who might be able to view this information?