Wednesday, June 22, 2011

Communicating with your Investment Professional

Planning provides a path to achieve financial goals and helps approach your goals with reasonable assumptions. In this program, we cover the planning you might consider when talking with your investment professional. Join host Ann Secrest and guest Roger Prince, Securities Examiner for the State of Alaska.


Thursday at 9 pm

1 comment:

johnseomaven said...

If you want to sell different types of securities as an investment professional, you need to acquire a Series 63 licensing exam or also known as Uniform Securities Agent State Law Examination. But remember, you need to be sponsored by a FINRA-registered investment firm so you can qualify to this licensing exam. You need to get at least 70% to pass the exam and to get your Series 63 license.