Customer Accounts VERY TESTABLE on SIE Exam, Series 6 Exam, Series 7 Exam, and Series 65 Exam

[@Series7Guru]

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[@jasonkirk3166]

I really like your compare and contrast style. Not only because it is testable but also, because it simplifies understanding.

[@Series7Guru]

Glad you are finding it helpful and that is how lots of content is tested.

[@cynthiaturner5487]

This was great, strong visuals

[@Series7Guru]

Sometimes slides are better than whiteboard.

[@brendansalcido2467]

Hi Dean! Question. Im currently studying using Pass Perfect. I am taking my SIE this weekend. PP has their finals out of 85 questions, and the results come back with all 85 scored....my first round of taking the 10 final exams I was getting in the mid to high 60s with 1 exception of getting an 84. I am taking all 10 of them again and i am getting in the 70's, and 80's even an 88. But then i took the practice exam on FINRA and got a 66....your videos have helped me a lot. And PP helps as well. Just a bit nervous because i saw some questions on the FINRA practice exam that were unlike anything i have seen. Thank you Dean!

[@brendansalcido2467]

Forgot to ask, should I actually be taking the PP final scores out of 75 questions and not 85 to get a true result? They say in PP, scoring a 75-80 on three final exams should be good enough. But that would mean I am truly scoring higher... which is good.

[@Series7Guru]

Take 85. The FINRA practice test is spot on.

[@brendansalcido2467]

@@Series7Guru thank you, Dean!

[@jeremyhofer1319]

I have a question I saw on the exam, if a customer tells a registered rep to initial a account opening document over the phone. Do you mail them the document have it initialed or send it into blank and explain it to the firm?

[@Series7Guru]

You send it to the client blank to have them sign or initial

[@reeceworldofmichigan735]

Thank you soo much for this. It really helped.

[@Series7Guru]

Glad you found it helpful.

[@KaterinePM]

Hi Dean! Quick question on margin accounts. Is LEAPS options marginable? I am using pass perfect and I thought I read that in there. Not sure if I misunderstood or if this was something that changed since this video was posted. Thank you for such an amazing lesson! I appreciate you.

[@Series7Guru]

Yes LEAPS are. Not testable

[@teresalgeorge]

in this video you said the corporate charter has to INCLUDE ("specifically premit")the ability to trade on margin but from my material it is saying as long as it doesn't EXCLUDE trading on margin in the corporate charter then it the account can have a margin account. which is correct?

[@Series7Guru]

It actually depends on the firm. For the test I am correct.

[@teresalgeorge]

@@Series7Guru thank you!

[@WhiteBison]

How do you enter to be on a coaching call ? ( if I’m feeling social enough 🤣 )

[@Series7Guru]

Join the Tuesday livestream. You can find the link on the home page.

[@brandim267]

Where can I go to learn more about ABLE accounts? I had one on my previous series 7 exam and it went into more detail than expected on the question

[@Series7Guru]

www.ablenrc.org/what-is-able/what-are-able-acounts/

[@njperuviankid]

thank you Dean

[@Series7Guru]

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