Have a question?
Send enquiry
Message sent Close
FINRA Exam > Series 7 Exam > Function 2 > Series 7 Exam: Function 2

Series 7 Exam: Function 2

Prepare for the Series 7 Exam with our specialized module focused on opening accounts after thoroughly evaluating customers’ financial profiles and investment objectives. This course equips you with the skills needed to gather customer information, analyze financial status, assess investment objectives, and ensure compliance with regulatory standards.

Teacher
'FINRA Exam Mastery'
558,554 students enrolled

What You’ll Learn

  • Gather Customer Information: Techniques for comprehensive data collection.
  • Analyze Financial Status: Assess assets, liabilities, income, expenses.
  • Understand Tax Implications: Determine tax status and investment impact.
  • Identify Investment Goals: Align strategies with customer objectives.
  • Evaluate Risk Tolerance: Understand and assess risk levels.
  • Use Interactive Tools: Practice with questions and immediate feedback.
  • Learn from Experts: Instruction by industry professionals.
  • Access Anytime: Study materials available 24/7.
Start this course

Series 7 Exam Preparation Course: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives

Function 2: Comprehensive Account Management and Evaluation

Course Overview: Prepare for the Series 7 Exam with our specialized module focused on opening accounts after thoroughly evaluating customers’ financial profiles and investment objectives. This course equips you with the skills needed to gather customer information, analyze financial status, assess investment objectives, and ensure compliance with regulatory standards.

What You Will Learn:

  1. Gathering Customer Information:
    • Techniques for effectively gathering detailed customer information.
    • Understanding customers’ security holdings, financial situation, and needs.
  2. Evaluating Financial Status:
    • Analyzing financial statements and other relevant documentation.
    • Assessing customer assets, liabilities, income, and expenses.
  3. Understanding Tax Implications:
    • Determining the tax status and implications for investments.
    • Advising customers on tax-efficient investment strategies.
  4. Identifying Investment Goals:
    • Aligning investment strategies with customer objectives and risk tolerance.
    • Setting realistic and achievable investment goals.
  5. Assessing Risk Tolerance:
    • Evaluating customer risk tolerance and investment experience.
    • Matching suitable investment products to individual risk profiles.
  6. Opening and Managing Accounts:
    • Understanding different types of accounts and their features.
    • Navigating the account opening process and required documentation.
  7. Supervisory Approvals:
    • Securing necessary supervisory approvals for account activities.
    • Ensuring compliance with internal and regulatory requirements.
  8. Maintaining Accurate Records:
    • Keeping detailed and compliant records of customer information.
    • Regularly updating and reviewing account information for accuracy.

Course Features:

  1. Explanatory Videos:
    • Detailed video lessons on account management and evaluation.
    • Real-world examples to illustrate best practices.
  2. Interactive Questions:
    • Engage with interactive questions to test your knowledge.
    • Immediate feedback to enhance understanding.
  3. Practice Tests:
    • Full-length practice tests that replicate the Series 7 Exam format.
    • Detailed explanations for correct and incorrect answers.

Why Choose Our Course?

  • Comprehensive Coverage: Thoroughly covers all aspects of account management and customer evaluation.
  • Expert Instructors: Learn from experienced professionals with deep knowledge of FINRA regulations and industry practices.
  • Flexible Learning: Access materials anytime, anywhere, and study at your own pace.
  • Proven Success: Join a community of students who have successfully passed their Series 7 Exam with our help.

Enroll Now:

Take advantage of our limited-time offer and get lifetime access to all our Series 7 Exam preparation materials for just $490. Enroll today and start your journey to becoming a FINRA-certified General Securities Representative!

Contact Us: For more information or to enroll, email us at support@finraexammastery.com.

Follow Us: Stay updated with the latest news and tips:

  • Facebook
  • Twitter
  • LinkedIn

This promo page highlights the key features and benefits of the course, motivating potential students to enroll and take advantage of the comprehensive resources offered.

Options trading is a financial derivative strategy where traders buy or sell contracts that give them the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a specified time frame.
This course is designed for beginners who are new to options trading and want to learn the fundamentals. It's also suitable for investors looking to diversify their portfolios and traders seeking to expand their knowledge of financial markets.
No prior experience in trading is required. This course starts from the basics and gradually builds up your understanding of options trading concepts and strategies.
You will learn essential concepts such as options contracts, terminology, basic trading strategies, risk management techniques, and practical application exercises to confidently trade options.
The course is delivered entirely online through our learning platform. You will have access to recorded lectures, course materials, quizzes, assignments, and discussion forums. Live interactive sessions with expert instructors are also scheduled.
The course duration is [X weeks/months]. It is designed to be self-paced, allowing you to study at your own convenience. Live sessions are typically held once or twice a week.
You will have access to comprehensive course materials, including lecture notes, video recordings, reading materials, and additional resources. You'll also be able to interact with instructors and fellow participants through discussion forums.
Yes, upon successful completion of the course requirements, including quizzes, assignments, and participation, you will receive a certificate of completion.
Yes, we offer a 3-day money-back guarantee if you are not satisfied with the course. Please refer to our refund policy for more details.
To enroll in the course, simply visit our website [Course Website Link] and follow the registration instructions

Notice: Online Course Announcement

We are pleased to announce the launch of our new online course: "Mastering the Basics of Options Trading."

Course Overview: This comprehensive course is designed for beginners who want to gain a solid understanding of options trading. Participants will learn essential concepts, terminology, and strategies to confidently navigate the world of options markets. The course covers topics such as options contracts, basic trading strategies, risk management techniques, and practical application exercises.

Course Details:

  • Title: Mastering the Basics of Options Trading
  •  
  • Format: Fully online, accessible from anywhere
  • Instructor-led: Live interactive sessions with expert instructors
  • Self-paced: Access to recorded lectures and course materials at your convenience
  • Resources: Course materials, quizzes, assignments, and discussion forums provided through our online learning platform

Registration: Registration for the course is now open. To enroll, please visit Options-America or contact for assistance.

Limited Seats Available: Please note that seats are limited, so early registration is recommended to secure your spot.

Who Should Attend:

  • Individuals new to options trading
  • Investors seeking to diversify their portfolio
  • Traders looking to enhance their knowledge and skills in options markets

Benefits of the Course:

  • Gain a solid understanding of options trading fundamentals
  • Learn practical strategies for trading options in various market conditions
  • Interact with expert instructors and fellow participants in live sessions
  • Access course materials and resources to support your learning journey

Further Information: For detailed course information, including the syllabus, instructor bios, and registration instructions, please visit Options-America.

Don't miss this opportunity to kickstart your journey into options trading from the comfort of your own home! We look forward to welcoming you to the course.

Best regards, Options-America

Get course
1

Includes

5 hours
Subscribers only
All devices

Archive

Series 7 Exam: Function 2
Get Course
Skip to content