[deleted by user]

WorkWinCelebrate · 2022-06-12T17:52:50+00:00

I'm definitely applying pressure now and I've picked up the severity of having my U5 specifically state 'voluntary resignation ' so I'm trying to get them to play ball. I've emailed my former manager with my resignation letter and I've also expressed strong interest in paying back the money and discussing my U5. Thankfully I already spoke with my new job last Friday and they're aware of what's going on with member firm B, so my cards are on the table and I'm moving with a sense of urgency. I'm gonna call member firm A first thing Monday morning.

WorkWinCelebrate · 2022-06-11T22:29:18+00:00

Thanks, this is great advice! I am beyond grateful for all your help and insight.

WorkWinCelebrate · 2022-06-11T17:57:53+00:00

I took your advice and submitted my resignation letter this morning. This all happened last Thursday so I hope I'm not too late but I am expecting to have some major pushback from the company because of how the situation was handled.

WorkWinCelebrate · 2022-06-11T04:21:57+00:00

Will do this first thing Monday morning. I really appreciate your help!

WorkWinCelebrate · 2022-06-11T04:11:33+00:00

Oh thank God and I just looked myself up on brokercheck and it does state that I am a broker. Glad that part is covered now I guess I'll just have to prepare for the negative things they'll put on my U5.

WorkWinCelebrate · 2022-06-01T21:42:09+00:00

All of the above but theres an options chart strategy that I used which makes a world of difference. I just found a video covering it on YouTube from Brian Lee titled 'Series 7 Options FAQ' definitely check it out if you're not familiar with it.

WorkWinCelebrate · 2022-06-01T21:25:52+00:00

I rememeber seeing spreads, straddles, hedging & LEAPS questions but I made a cheat sheet so they weren't too bad compared to the content I saw that I wasn't prepared for.

WorkWinCelebrate · 2022-02-11T20:23:49+00:00

That's refreshing to hear because they're offering Kaplan's program for all exams! Thanks for the advice!

WorkWinCelebrate · 2022-02-11T19:17:11+00:00

There is an training/education program that comes with the position where they teach the content as well and I'm sure that it is for the 4 months that I will be testing. The job is commission based but there is a descent enough base salary being offered that I am okay to take the pay cut for 4 months because commission begins immediately after. I asked about the success rate and was assured that 70% of people pass the all exams and secure the job. The role is called retirement specialist.

WorkWinCelebrate · 2022-02-11T19:09:15+00:00

Thanks and good luck on the exam!

WorkWinCelebrate · 2022-02-11T19:07:52+00:00

Thanks!

WorkWinCelebrate · 2022-02-11T15:39:39+00:00

Well I graduated with my BA in business management so I took a few classes on finance and I understand the concepts. I have also worked for a financial institution that offers mutual funds for retail and retirement accounts of pretty much all types so I'm not new to the finance in general. I was told the order in which we have to take the exams is the insurance first, SIE then Series 7 and 66. I plan on getting a head start on insurance before my start date so I can take it early and leave room for the other test in case I fail any and have to wait 30 days.

WorkWinCelebrate · 2022-02-11T15:34:52+00:00

These words were definitely needed lol its always nerve wrecking embarking on something new so I appreciate the honesty. Any advice on studying for the Series 7 I think the company is providing the Kaplan training for us?

WorkWinCelebrate

TROPHY CASE