Series 65: Risk

Taken from our Series 65 Online Guide

Risk

No one single subject occupies the minds of most investors like the potential to gain or lose money. Likewise, no one issue lands more financial advisers in hot water than clients who lose money that they didn’t expect to lose. In the end, understanding the risks that go along with each unique investment and explaining those risks clearly to clients is one of an adviser’s core responsibili

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I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

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Carol K. Gallagher TIAA-CREF Upstate New York

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