Thanks to all who gave me encouraging words on my goal of finishing my master's degree in financial analysis. (BTW, the first half of the capstone isn't quite done, but it's really, really close.) I'd like to explain to you why I'm doing this. I've been in college a long time, ultimately earning a Ph.D. in curriculum development in 1998. I've been a junior high English teacher, a university freshman composition instructor, and a corporate trainer. I entered the financial world in 2002, after a horrific experience when a broker lost much of my mother's IRA because she was not diversified out of technology during the dot.com bubble burst. I have worked since that time to increase my level of competency. Even though I was legal to "do business" after taking my Series 65 exam in 2003, I didn't believe I possessed the skill set necessary to really do the best job that I wanted to do. That's why I began by completing my CERTIFIED FINANCIAL PLANNER(TM) practitioner status, passing the 10-hour exam in March of 2005. However, I still felt uneasy with my skill set in portfolio management, so in August of 2007, I began working toward a master's in financial analysis. I will graduate this summer.
Now, I will admit that some of what I have learned I am not likely to use in my practice, but nearly everything I have learned has been in the media in one way or another. After the financial meltdown of 2007, complicated financial concepts and products have received national attention. At least I can explain what that means to my clients.
To me, this is what being a fiduciary means. I believe it is my duty to go the extra mile if it might help my clients. I'm extreme in this, I know, but I really believe it matters. I've given an additional four years of education toward it, after my Ph.D. I encourage you to work with a financial advisor who is willing to go the extra mile. I'm not the only one--I know several personally. It isn't a requirement to be legal in the field, but I believe it's the least we can do.
Be Prosperous!
Peggy
Series 65 licensing exam takes time so it will be helpful if you will study different aspects in becoming an Investment professional specifically an advisor before the actual exam. You will need to have a broad knowledge about economic analysis, investment recommendations and strategies, legal and regulatory guidelines, and professional ethics as well. Taking some Series 65 exam simulator courses or preparatory courses might help you to easily pass the actual exam.
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