Education

Unlike most asset management firms, we believe in educating our clients as well as serving them.

Most asset management firms prefer to minimize contacts with their clients. Their desire is to invest their clients money, gain profits from their investments, send a check to their clients and move on. They are focused on the bottom line and if you don't have additional funds to deposit, they don't want to be bothered.

We believe in helping people above and beyond investing their money. To some, it may seem counter-productive to educate people on the fundamentals of investing if you manage a hedge fund, but life is not all about money.

 

If you have one (or many) questions regarding investing or if you would like more in depth information regading specific investments we have made or are about to make, feel free to drop us a line. The more knowledgable our clients become regarding finances and the investment world, the better they will understand what is involved with investing. Most people don't have the knowledge, will, time, desire or combination of the four to invest by themselves. Their decision to not take an active roll in their investments requires no justification. That's why our services are necessary and available.

For those who do have the will and desire to learn, we are here to help. We will provide whatever information we can regarding any investment question you may have. If we are lacking specific information you may be seeking, we will point you in the right direction.

For those of you interested in a career within the financial world, you may wish to begin by studying for the following FINRA License Exams:

 

Series 6 License

A Series 6 License signifies that you are qualified to work in life insurance sales, mutual funds and annuities. In order to prove competence, you need to demonstrate a working knowledge of investments, asset transfers, purchases and sales, accounts and record keeping.

 

Series 7 License

Series 7 covers much of the same material that the Series 6 exam covers. The main difference is anyone with a Series 7 license is qualified for the solicitation, purchase and sale of all securities products. It is not a specialized credential, which is why it's called the General Securities Representative Exam. Completing the exam requires you to have knowledge of the four major functions of a general securities representative, which means it's a much harder test than the Series 6 exam.

 

Series 24 License

The purpose of the Series 24 exam, also known as the General Securities Principle Qualification Exam, is to measure basic competency in the ability to perform critical functions of a principle. In order to earn your certification, YOU WILL NEED TO COMPLETE THIS EXAM, THE SIE EXAM AND A REPRESENTATIVE LEVEL EXAM LIKE THE SERIES 57.

 

Series 57 License

In order to take the Series 57 certification test, a FINRA member firm or self-regulatory organization (SRO) member firm must sponsor you. Due to this requirement, you probably won't be able to take this exam without earning some other FINRA certifications first.

Once you have met the requirements, the test asks you to prove competency in the essential functions of a securities trader. You will need to know about specific trading activities and regulations. as well as how to keep records and reports of each trade. Once you pass this exam, you're qualified to trade on the NASDAQ exchange.

 

Series 65 License

A Series 65 License is a test and securities certification that qualifies individuals to act as investment advisors. It is officially known as the Uniform Investment Adviser Law Examination. Basically, you need to understand the laws, regulations and ethics involved in working as a financial adviser in order to pass the exam

 

SIE Exam

The Securities Industry Essentials Exam is an introductory-level exam designed to measure your knowledge of basic securities industry information.

This includes the following:

* General Securities Concepts

* Product Types And Risks

* Securities Market Structure

* Government Securities Regulatory Agencias

* Prohibited Practices