...foundation for our respective quantitative trading roles. I became a market maker, providing liquidity to the public orders, a specialist, keeping an orderly book of all public orders, and floor manager, overseeing the daily operations. The environment was dynamic, highly demanding, requiring laser focus, preparation and stamina. An integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new...
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...other reps, and was a producer. To see my career path including all the licenses I obtained, view me at Broker Check: https://brokercheck.finra.org/individual/summary/1313689 and see that I had all the licenses. I also was the prime lead instructor for a Series 7 school years ago before publishing training manuals that became the big business we see today. My peers, other broker-dealers, had enough confidence in me to elect me to two different FINRA offices. One...
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...helped and trained fellow colleagues to pass the different FINRA exams. I understand the pressure of learning the materials and then passing the exams in the allotted time frames given. I am passionate about helping people pass the professional exams and achieving their goals. I aim to be a resource to people, and letting them set the pace. I enjoy traveling when I can, either locally or internationally. Some of my favorite jaunts are those...
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...including a mutual fund, an NASD sales and investment advisory firm, and a transfer agent. In 1983, I earned a Master's in Business Administration from Illinois State University with a specialty in the field of Finance. I also taught there for a period of time and authored two books: The Do-It-Yourself Investor and Do-It-Yourself Investment Analysis. The former book was chosen by Sylvia Porter as one of her top business books for 1987. While completing...
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...securities industry for over 20 years and have a good understanding of many different areas. I will do my best to help the student by simplifying the material and using everyday tasks as examples. Exams I have taken (and passed on the first try): Series 7 (General Securities), Series 24 (General Securities Principal), Series 4 (Registered Options Principal), Series 27 (Financial and Operations Principal), Series 53 (Municipal Securities Principal), Series 66 (Investment Advisor Representative) and...
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Our interview process, stringent qualifications, and background screening ensure that only the best Series 27 tutors work with Varsity Tutors. To assure a successful experience, you're paired with one of these qualified tutors by an expert director - and we stand behind that match with our money-back guarantee.
Receive personally tailored Series 27 lessons from exceptional tutors in a one-on-one setting. We help you connect with the best tutor for your particular needs while offering flexible scheduling to fit your busy life.
Series 27 Tutoring FAQ
Series 27 is a license and exam, which is also called the Financial and Operations Principal Exam. Financial professionals who wish to become qualified to prepare and manage the books and records of a firm take this exam. Those who pass the exam are qualified to perform those activities as well as to become the CFO of a firm. The test takes three-hours-and forty-five minutes to complete. It features 145 multiple-choice questions, of which 69% must be answered correctly to pass. The exam and license are often compared to the Series 28 exam and license. However, the two differ in that the Series 27 license is needed by broker-dealers that have a minimum net capital requirement of $250,000 and by municipal securities brokers that have a minimum net capital requirement of $150,000.
If you're interested in receiving your Series 27 license, you should begin by familiarizing yourself with the content that is covered on the exam. There are five main categories of knowledge, which you should expect to answer questions on. These are financial reporting, operations and general securities industries regulations, customer protection, net capital, and funding and cash management. Within these categories, the exam will have questions on topics like the statutory rules surrounding broker-dealer responsibilities, record-keeping requirements, and the relevant portions of the Securities Investor Protection Act of 1970.
Given the wide-ranging content on the Series 27 Exam, it can be useful to seek professional help when preparing for it. One of the best places to find this help is Varsity Tutors. Varsity Tutors can connect you with a private Series 27 tutor who is able to work with you online. You can meet with your tutor through a live learning platform that replicates a face-to-face meeting with them. Varsity Tutors can also match you with a tutor who is able to work around any of your previously scheduled obligations. This flexibility makes it easy to take advantage of the unique benefits only a Series 27 tutor can provide.
Series 27 tutoring may be just what you need to start feeling more confident in your ability to do well on test day. This is because your tutor will work with you in a one-on-one setting, which allows them to craft a study plan that's targeted for your needs. You can move through each topic with your tutor at your own pace and stop to ask for additional help whenever you want it. The guidance that a private Series 27 tutor can provide you with may even make your study sessions more efficient. If that sounds helpful to you, contact Varsity Tutors today.
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