FINRA Exam Tips and Career Advice - Achievable Podcast

How to pass FINRA exams with a busy schedule

Most people don't get to sit and study for the FINRA SIE or other tests full time - so if you're wondering how you're going to fit this into your schedule, you're not alone. TheSecuritiesGuys' Jeff Tharp and Brian Kolins have helped thousands of reps pass their FINRA exams. In this episode, Jeff and Brian share their advice for passing FINRA exams while very busy, whether that's working a full-time job, handling being a single parent, and more.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me

How to pass the FINRA SIE when you don’t have a finance background

If you don't have a finance background and are now preparing to take the FINRA SIE - don't worry, you're not alone. Most people taking the FINRA SIE nowadays, especially for sales roles, didn't get a finance degree or work on Wall Street beforehand. The FINRA SIE is your first major hurdle that you need to overcome in order to secure a lucrative career in this industry. In this episode, TheSecuritiesGuys' Jeff Tharp and Brian Kolins join us to talk strategy on how to set up your schedule, do your prep, maximize the impact of your practice tests, and pass your FINRA SIE. 

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me

How to answer suitability questions on the FINRA SIE and Series 7 exam

Suitability questions are the most common question type on the FINRA SIE and Series 7 exams, so you've got to have them down if you want to pass. Andrew Dennis is the founder of IbisPrep and Jason Billups is his FINRA tutoring lead with decades of experience as a financial planner and tutor. In this episode, Andrew and Jason walk you through all things suitability and share their tactics for answering these questions correctly on the FINRA SIE and Series 7 exams.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me

The basics of options strategies: income, hedging, covered calls, spreads, and straddles

If you're new to finance, options lingo can sound like another language. We've brought the decoder. Andrew Dennis is the founder of IbisPrep and Jason Billups is his FINRA tutoring lead with decades of experience as a financial planner and tutor. In this episode, we walk listeners through the basics of options, from 'what does bullish mean' all the way to complicated straddle strategies.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me

Broker dealer exclusions + problem walkthrough (Series 63, 65, 66)

Last in our broker dealer mini-series is another important testable aspect of broker dealers on the Series 63, 65, and 66 exams: what are the exclusions and exceptions to the rules we just learned that change a BD's eligibility or status. Brandon Rith, Achievable FINRA author, goes through these exceptions and then walks you through a BD exclusion problem in Achievable's Series 65 course. Follow along with the podcast by opening the problem here, no signup required.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me 

Broker dealer registration + problem walkthrough (Series 63, 65, 66)

Another commonly tested topic on the Series 63, 65, and 66 exams is how broker dealers are registered. Brandon Rith, Achievable FINRA author and founder of Basic Wisdom FINRA tutoring, shares how the BD registration process works at a high level before walking you through a BD registration problem in Achievable's Series 65 course. Follow along with the podcast by opening the problem here, no signup required.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me 

Broker dealer definitions + problem walkthrough (Series 63, 65, 66)

Broker dealers are a commonly tested topic on the NASAA Series 63, 65, and 66 exams. In this episode, Brandon Rith, Achievable FINRA author and formerly an 8X-awarded Licensing lead at Fidelity, shares what you'll need to know about broker dealers on the exams before walking you through a BD definition problem in Achievable's Series 65 course. Follow along with the podcast by opening the problem here, no signup required.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me 

Variable insurance policies (Series 6, 65, and 66)

Variable insurance policies are considered a security, and therefore the only type of insurance that requires FINRA and NASAA licensing, but they're a key part of the FINRA Series 6 and included in the NASAA Series 65 and Series 66 exams. In this episode, Ken Finnen, a longtime veteran of the finance industry and FINRA tutor for decades, starts with an overview of the different types of insurance policies before diving into specific things you need to know for the Series exams related to variable insurance.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me 

RIA exemptions and exclusions (Series 63, 65, 66)

RIAs (registered investment advisers) have a lot of rules, but there's also a lot of exceptions to those rules. These rules and exceptions are heavily tested in the NASAA Series 63, 65, and 66 exams. In this episode, Ken Finnen, a longtime veteran of the finance industry and FINRA tutor for decades, walks you through everything you need to know for these exams: what constitutes an RIA, what the rules are that investment advisers need to follow, and what are the key exemptions and exclusions to those rules that you'll need to know on these exams.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me 

Deep dive on US government debt and suitability (FINRA SIE, Series 7)

The functionality and suitability of US government debt, specifically Treasury bills, Treasury notes, bonds, TIPs, and STRIPs, are all tested heavily on the FINRA SIE and Series 7. Ken Finnen is a longtime veteran of the finance industry and has been a FINRA tutor for decades. Ken breaks down all of these instruments, how to spot when suitability questions are asking for you to recommend them, and how rising interest rates affects them.

Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me