Series 66 playlist ua-cam.com/play/PLK1IazV_JQbEcpMelyp4q2wxAuEPVxmvI.html Series 63 playlist ua-cam.com/play/PLK1IazV_JQbEjys_jUR3yDuTnsP_tc7Rb.html. Series 65 playlist ua-cam.com/play/PLK1IazV_JQbGn7K_gBAD_TWW_TLrlRxA5.html
@@Series7Guru thank you I will look now. My test is on the 28th I’m thinking of rescheduling it so I can do tutoring. Thank you for all your videos and help!
Ladies and gentlemen, boys and girls. Security professionals of all ages. I am here to proudly announce that Dean Tinney has helped me achieve my goal of passing the s. I.e. Series 7 and 66 exams all on the first try in commemoration of this fantastic achievement. I will pledge the name of my first born child to be none other than Dean in honor of the greatest of all time.
Dean Tinney! The greatest of all time. I owe you an enormous ‘thank you’ for your making this content to aid our study efforts which helped me in passing 5/5 on exams through my SIE, 6, 63, 7, & lastly my 66 which I passed this morning. You have a great impact on many, and I have passed the word to my colleagues to watch your content as they prepare for exams as well. THANK YOU!
Dean taking the 63 and this video is a great summery. thanks for all your help you really are making a difference in not just my life but everyone who takes the time to watch your content.
I have to completely agree with you . Your lessons have helped me Immensely. This has been more useful and helpful for me than any other class I’ve taken so far . Ty so much !!! Highly recommended him
I recently passed my SIE and 7 largely thanks to your lectures/"very brief summaries" along with pass perfect. Thank you for the free content and the anecdotal examples that make these concepts applicable
I also listened to Dean and passed the SIE while working through the Pass Perfect model as well. I found Dean's studies and/or videos to be both useful and informative for what I needed to know to take the exam.
Thank you for all of your video's. I passed the S7 test last month, and the S66 test this week, both on the first try. I would strongly suggest anyone that is taking any of the 3 tests, SIE - S7 - S66, to watch all of Dean's videos. The video's are great at teaching and elaborating some of the tests most common questions. Inch by inch the tests are a cinch, yard by yard the tests are hard. Great videos Dean!
Hey Dean, just a big thank you for helping since the SIE, Serie 6 and now 63 I passed all of them on the first attempt bcuz of you, now I’m just preparing for my state insurance, you make a huge impact on peoples lives🙏🙏🙏🙏🙏🙏🙏🙏
THANK YOU SO MUCH DEAN! I have now passed my 7 and 63 because of you and your videos. I watched this video right before my test and I was able to answer several questions based on the information in this video. Thank you for all you do!
This video is target rich for sure. Kudos on your latest testing victory! Always very gratifying when my videos contribute to test taking victories like yours
Watched this video morning of my exam (63), it was super helpful to reinforce the basics and it helped me pass the exam for sure. I have watched all of your videos on the 7, SIE, and 63. When I first started taking my Series 7 practice exams I was getting low to mid 50s and once I started watching your videos my scores jumped and never went back down. Thank you for your videos and thank you for the time you put in to help us random people on the internet. You are the man, Dean!
Have to second this entire statement. I’ve passed SIE, S7, and have S63 Saturday. My firm utilized TC, but as a supplement I watched all of these videos and the additional perspective has been more than helpful. Dean you are the man for providing content essential free (at least to users, hopefully you benefit from UA-cam!). Thank you sir for what you do.
@@stevenc6434 funny. Didn't intend to benefit from UA-cam and when I first started the channel I intentionally made longer narrative lectures. Lots of people said I should make shorts. Oh well. Last month when I monetized found out accidentally that long narrative content is what UA-cam advertisers like. So channel is bringing in much more than I could make charging for channel memberships. Who knew?
Dean! I’ve lurked on your channel since November or thereabouts and just passed my 65 today. Your videos were a huge help because I could walk or drive around and listen without having to be glued to a desk. Made review so much easier and your explanations are very clear. What a valuable service!! Thank you! Keep it up :)
Just wanted to drop my testing testimonial! I’ve recently passed the series 7 (on retake) to which I am happy to COMPLETELY confidently say that your content has been the saving grace and reason I was able to understand the concepts!
Just passed my final test, the 66, I think I may have scored in the 90s and 90% of that is due to you. I’m on to designations now, wish you had lectures for those. I have and will again, strongly recommend you to my firm tomorrow (Monday). Thanks Dean!
Hey Dean, Smoked my SIE and series 7. Ive got the 66 in my crosshairs. Its going to go down, baby! Thanks for your effort on the ol' UA-cam. Your channel has been a great resource. I tell all the newbies at my firm about you. Also, whenever some one says something snide or nasty to me (which is often because i work in finance), i respond with "well, youre no fun". I got that from you, big dog!😂
Thank you Dean for all the content I have used your videos and practice exams as a supplement for all 3 the SIE, 7, and finally the 66 yesterday. Passed first try on a hard draw id say. The extra prep paid off! Cheers
Kudos Investment Advisor Representative! Always very gratifying when my videos contribute to test taking victories like yours. Thank you so much for super chat.
Dean, You are truly THE GURU, I owe my success (SIE,S7 & S63) to you… would love to meet you in person and offer you Guru Dakshina…Your teaching style of breaking down complex concepts to layman terms is quite engaging & informative…Thank you so much for all you do 🤗
Hello from France! Your content helped me pass the SIE and Series 7 last year. I am now studying for the 63 -- hopefully, I will have it wrapped up soon.
Appreciate all you do Dean! I want to thank you so much for all the time, effort, and work you put in for making these videos. I recently found you over the last two weeks and you have definitely been a resource I use to help solidify and add to my studies/knowledge. Passed my 63 this morning, have the SIE and S6TO to take next!
You are welcome. Very gratifying that the channel has helped so many like you matriculate through their testing journey. One last leg in your testing journey. Make it 3 and 0!
Passed 65 today appreciate the help through sie and 65 listened to this video on the way to testing center had several question that applied directly to the content covered here
Thank you so much for all of your videos . Your lectures have been immensely helpful . I’ve Learned so much from your Video’s than anything else I’ve taken so far . You made me more comfortable in passing the exam . Ty sooo much . Highly recommend watching him .
Failed my 66 today. got a 65/100. Did well on all of your prep work and also all my kaplan exams was scoring 85-92. Guess I'll have to strategize a new study method for when I retake it in 30 days
Our BD participated in the raise of capital for Hall Wines of Napa. We have clients in that and other investments that were offered by the Hall Group, like the Hall Arts Hotel. Thanks for this video by the way.
Today I am saying a very hard goodbye to the “series 7 Guru” thank you for all the late nights and toilet talks. It’s been a long journey together but it’s time to go out seperate ways. Good by Dean #3for3
I aced my series 7 and failed my series 66...felt like a punch in the gut. I way overthought things and the whole federal reg, state reg, exempt, not exempt, transaction, exempt transaction threw me off. Im a visual learner and I needed a graph.
Watching all your 66 videos, as my test is in about a week! Thank you for all that you do. Ive lurked for the SIE and 7 and have loved your content and have felt very confident going into it. With the 66 I feel less confident I think strictly due to the laws and regulations portion (which is the biggest). Is there any link to your slides that we can print and annotate along with? Also please let us know how we can support the channel monetarily or however. Thanks!
what are the similarities in terms of content and types of questions between 63 and 65? taking both and noticed similarities was wondering so I can be sure to really focus on the information that are similar in nature to both tests to save me some time if someone can help me out here. Thank you so much by the way I passed my SIE because of you and your content! much respect and admiration for all you do, you are a living legend!
They are exactly the same on the regulatory questions but the 65 has dozens of questions on investments that the 63 does not. 63 is to be agent of a broker/dealer. 65 is to be an Investment Advisor Representative.
Your videos have been extremely helpful so far so thank you! I am hoping to take the Series 65 on Friday after one failed attempt in January. One question that has come up that I'm hoping you can answer is: Who are IARs permitted to borrow money from and who are agents of BDs able to borrow money from?
IARs can't borrow money from IA clients unless it is a bona fide lending institution and they go through the normal loan process. Agents of B/Ds can borrow from immediate family members.
Dean - Thank you for sharing your knowledge with us. This is so great. Would you have any plans to create an additional lecture to cover communications with clients and ethics practices? Thank you.
Thank you for these videos, helped me pass SIE and 7 first try, working on 66! Quick question about officers of a b/d being auto registered as an agents under USA (around 19:40). I had an STC practice question something like 'Susan is a high-ranking officer, an Exec VP Comptroller of XYZ securities, is she an agent under USA.' Their answer was no she isn't an agent, an officer 'can' be, but also might not be depending on job function. So question is are they only auto registered if they meet the criteria otherwise? I thought the auto registration meant they were considered an agent solely due to being a b/d officer. Maybe I'm overthinking. 🤔
Hey Dean. Just finished the Series 63 book today Quick question, is the series 63 only 60 questions or are their extra questions as is on the SIE and 7? Took my first mock exam and got 41/60 so I am retaining the info pretty well! Cant wait to dig into your lectures yet again!
Been listening to your videos every time I get in the car these days. Trying to cram a little more in before taking the 66 in about a week. I'm a pretty visual learner... I heard you mention the Kaplan Quicksheet in one of your videos, and I just looked into purchasing it today, but it looks like it's only available to ship, not print, and my time is too short to wait on it. Do you know of anything comparable that's available on demand?
Thanks for all your help dean! I passed the 6, SIE and 63 because of your videos, I’m taking the 65 in a week,(other than ethics and USA definitions) what would you say is the most important thing to know backwards and forwards going into the 65?
Just found these. Hoping they help me. Going to sit for the 65 for the 4th time. I just feel so lost when I get to the test center. Setting my date soon.
Hey Dean, I love the channel! So B/D doesn’t have to register if it has no office and only institutional clients, but what about having only accredited clients? Same question for an IA. Thank you!
Thanks for all you do Dean! At the 41 minute mark, when you talk about the $150 max contribution, that's for an IAR who can't vote for a candidate? Am I understanding that correctly? Thank you
my brain is not understanding the difference: Non-Exempt: means the security NEEDS to be registered with the state (USA) Exempt: The security DOES need to be registered because the issuer is exempt, the transaction is exempt, or a security is exempt I'm not understanding why both non-exempt and exempt require registration.. thanks Dean!
Hey Dean….I used STC to study for the 65. Did not pass test 1, but was recommended to follow your content before going for test 2. Do you recommend more than the videos listed under your 65 playlist? Thanks
Hi dean, thank you for this! Are the questions on the 66 point and click knowledge based questions? Or are they LONG questions like the series 7? Thanks in advance!
Hello Dean! As always you rock!! I wanted to kindly ask you, which one is the link for the video of the Series66 material that is not included in the Series 7? That you just mentioned at the end of the video.
Not sure what I said but you should check out the entire Series 66 playlist. The videos are in suggested watch order. Sounds like I was referring to Analytic Tools or Methods.
Hi Dean, thank you very much for this video. I’m studying for my 65 and this has really helped me thus far . Do you have a video comparing federal and state law at all? In terms of exempt transactions, deadlines, etc? Thank you!
What’s the top three videos to watch for the 65? I test this Friday! I have watched quite a few and just want to ensure I put the focus to the most performance opportunities! Thanks
Hey Dean (or anyone else) I have been struggling with the series 65. I currently have SIE, 6 and 63 completed. I just can’t seem to get over the hump and have failed the 65 twice. I was using STC for study material but have since bought the premium Kaplan package, am signed up for the live online class and as well as hired a tutor through varsity tutors. I seem to have the laws & regs down getting 82% and 76 % for that category but under 70% on the other 3 categories. I plan on watching this whole UA-cam series on top of my study plan above. Do you or anyone else have any tips or recommendations for my situation? Willing to do whatever it takes to pass! Thank you
I am studying for the series 65 using Kaplan. I am havig trouble with this queation: Sharon Smith is an agent for Highwater Securiities, a broker-dealer registered in all 50 states. Sharon receives an unsolicited order from a bank located in State X, a state in which she has no place of business. Under the Uniform Securities Act, I narrowed it down to 2 choices and chose the wrong one, A) Sharon must be registered in State X in order to accept the order B) because Sharon has no place of business in State X and the client is an institution, Sharon may accept the order without registering in State X. I chose answer B. I thought if you didn't have a place of business in a state you didn't have to register in that state. Am I mixing some concepts somewhere?
Passed S7 yesterday - huge thanks to Dean Tinney!! Will be signing up for your'e class no doubt for 66.. will there be a textbook or material with Kaplan soon? Or is current LEM edition #11 most recent with no expected change?
Dean Tunney- call me - want to say hello - Jeff Kilpatrick- Newport securities. What happened to my Targa? Would be 50 years old this year. Same old phone number except 951 area code….. given your memory you probably still remember it from 1985. Still in business - 44th year.
Hi Dean, This will be my fifth attempt at taking the Series 65 exam. When I lived in NY, it was not required to pass a test (Just pay a fee). Now that I have moved to Virginia, a test must be taken so that I can work with my advisory clients again. I tried just studying test questions, attending an online class, an inperson review class and now I am concentrating on on Definitions, abbreviations and formulas. I walk in to the test thinking I will pass the test, but then when I look at the questions, I can't remember anything. Very determined to get this done. Any ideas (other than a new profession) ? Do you have experience with other students in this situation? I will be intently viewing your videos.
Yes. The struggle for some is real! Try to get past the poor language and grammar on the test and avoid getting in the weeds. Go for the big picture on this next attempt.
Good afternoon Dean, For the IA firm the A.B.C test applies and for the IRA does not apply? I just got my ideas crossed. What would be for the IAR so I can identify him/her in a question to be presente?
For the IARs political contributions you can donate $350 to a candidate you are entitled to vote for. I am confused on what the $150 dollar limit is for. Is it for candidates you cannot vote for?
Dean, what happens when the sale is unsolicited in reference to disclosures? Are disclosures delivered in the same way as solicited? Like the time, brochures and whatever else…
Dean - As always thank you for your content. Would you please confirm if a B/D (firm) and its agents acting as a 3rd party solicitor for federally covered IA do not need to register as an IA and IAR respectively? Thank you.
Hi Dean! A little confused with Reg D. I understand they are exempt from both SEC and STATE registration. However on 1:15 when you talk about PRIVATE PLACEMENT limited to 10 offers I got lost... How does that fit to Reg D???
Dean , What are some date deliver differences for the USA act in comparison to those on the S7? (i.e. those that are different and same. ie. options etc)
Hi Dean- I want to create a cheat sheet for the s66 which will focus mainly on regulations since they are highly tested. Do you suggest I base it off of this specific video here since its highly informative. Thank you in advance Dean.
No. I would base it on TestGeek paid supplement. With Guru20 discount can get QuickNotes for $36. Has some very neat "cheat sheets" that would lend itself to your own.
Testing tomorrow, does the 63 exam have more questions about the broker dealer or more about the investment Adviser? Or does it just depend on the draw
Quick question, I am using Training Consultants and on the Practice Exams they us a-lot of the "roman numeral" formatted questions, where you have to choose how many of the numerals will answer the question, will this format be seen on Series 66?
Series 66 playlist ua-cam.com/play/PLK1IazV_JQbEcpMelyp4q2wxAuEPVxmvI.html
Series 63 playlist ua-cam.com/play/PLK1IazV_JQbEjys_jUR3yDuTnsP_tc7Rb.html.
Series 65 playlist ua-cam.com/play/PLK1IazV_JQbGn7K_gBAD_TWW_TLrlRxA5.html
Do you do any tutoring virtually for 66? @series7guru
@@Daniel_M3 i do deantinneytutoring.setmore.com
@@Series7Guru thank you I will look now. My test is on the 28th I’m thinking of rescheduling it so I can do tutoring. Thank you for all your videos and help!
Ladies and gentlemen, boys and girls. Security professionals of all ages. I am here to proudly announce that Dean Tinney has helped me achieve my goal of passing the s. I.e. Series 7 and 66 exams all on the first try in commemoration of this fantastic achievement. I will pledge the name of my first born child to be none other than Dean in honor of the greatest of all time.
Lol.
Kudos on completing your test taking/registration hat trick!
Always very gratifying when I contribute to testing victories like yours.
Dean amazing and so GENEROUS. I BLESS HIM FOREVER. I'M VERY HAPPY FOR YOU
Always very gratifying when this channel contributes to testing victories like yours
Dean Tinney! The greatest of all time. I owe you an enormous ‘thank you’ for your making this content to aid our study efforts which helped me in passing 5/5 on exams through my SIE, 6, 63, 7, & lastly my 66 which I passed this morning. You have a great impact on many, and I have passed the word to my colleagues to watch your content as they prepare for exams as well. THANK YOU!
Wow! That is long and winding testing journey for sure. Kudos on going 5 and 0!
Thanks so much. Love referrals!
SIE, Series 7, Series 66
@@Liam_Daly 18 is correct
@@Liam_Daly off topic. Not what my channel is about. My channel is about helping test takers pass their tests.
Dean taking the 63 and this video is a great summery. thanks for all your help you really are making a difference in not just my life but everyone who takes the time to watch your content.
You are welcome. Thank you for kind comments. Encouragement for more content for sure.
I have to completely agree with you . Your lessons have helped me
Immensely. This has been more useful and helpful for me than any other class I’ve taken so far . Ty so much !!! Highly recommended him
I recently passed my SIE and 7 largely thanks to your lectures/"very brief summaries" along with pass perfect. Thank you for the free content and the anecdotal examples that make these concepts applicable
Kudos on your testing victories! Glad the channel made a contribution!
I also listened to Dean and passed the SIE while working through the Pass Perfect model as well. I found Dean's studies and/or videos to be both useful and informative for what I needed to know to take the exam.
Passed the 66 yesterday🎉🎉
I watched this one at least 10 times, thank you for doing these Dean!!
Kudos Investment Advisor Representative! Always very gratifying when this video contributes to test taking victories.
Thank you for all of your video's. I passed the S7 test last month, and the S66 test this week, both on the first try. I would strongly suggest anyone that is taking any of the 3 tests, SIE - S7 - S66, to watch all of Dean's videos. The video's are great at teaching and elaborating some of the tests most common questions. Inch by inch the tests are a cinch, yard by yard the tests are hard. Great videos Dean!
Kudoz on completing your test taking/registration hat trick!
Thanks for the shout out.
Thank you so much Dean. Your content was extremely helpful in helping me pass the series 65 test. You’re the man!
Kudos Investment Advisor Representative!
Always very gratifying when my content contributes to test taking victories like yours
Hey Dean, just a big thank you for helping since the SIE, Serie 6 and now 63 I passed all of them on the first attempt bcuz of you, now I’m just preparing for my state insurance, you make a huge impact on peoples lives🙏🙏🙏🙏🙏🙏🙏🙏
Kudos on your test taking/registration hat trick!
Always very gratifying when my channel contributes to test taking victories like yours.
THANK YOU SO MUCH DEAN! I have now passed my 7 and 63 because of you and your videos. I watched this video right before my test and I was able to answer several questions based on the information in this video. Thank you for all you do!
This video is target rich for sure. Kudos on your latest testing victory!
Always very gratifying when my videos contribute to test taking victories like yours
Dean my man! Just passed the 66. Thank you so much my friend. Felt so prepared thanks to your videos helping supplement my reading.
Great job! Always very gratifying when my videos contribute to testing victories like yours.
Greatly appreciated Mr Tinney! Passed my 63 today. I'm unofficially a baby broker. Cheers
Kudos!
This was an order of magnitude more valuable than the Kaplan book or the Kaplan live instruction I took for the 65. Thanks for doing it.
My pleasure.
Watched this video morning of my exam (63), it was super helpful to reinforce the basics and it helped me pass the exam for sure. I have watched all of your videos on the 7, SIE, and 63. When I first started taking my Series 7 practice exams I was getting low to mid 50s and once I started watching your videos my scores jumped and never went back down. Thank you for your videos and thank you for the time you put in to help us random people on the internet. You are the man, Dean!
Great to hear! Kudos on your testing victories. Glad to have made a contribution.
Have to second this entire statement. I’ve passed SIE, S7, and have S63 Saturday. My firm utilized TC, but as a supplement I watched all of these videos and the additional perspective has been more than helpful. Dean you are the man for providing content essential free (at least to users, hopefully you benefit from UA-cam!). Thank you sir for what you do.
@@stevenc6434 funny. Didn't intend to benefit from UA-cam and when I first started the channel I intentionally made longer narrative lectures. Lots of people said I should make shorts. Oh well.
Last month when I monetized found out accidentally that long narrative content is what UA-cam advertisers like.
So channel is bringing in much more than I could make charging for channel memberships.
Who knew?
Passed my 66 today Dean! Practice exams and you 66 playlist were the key! Thank you sir!!
Kudos on completing the test taking/registration hat trick! Time to put those registrations to work!
Dean! I’ve lurked on your channel since November or thereabouts and just passed my 65 today. Your videos were a huge help because I could walk or drive around and listen without having to be glued to a desk. Made review so much easier and your explanations are very clear. What a valuable service!! Thank you! Keep it up :)
KUDOS on slaying that 65 dragon!!!!
Just wanted to drop my testing testimonial! I’ve recently passed the series 7 (on retake) to which I am happy to COMPLETELY confidently say that your content has been the saving grace and reason I was able to understand the concepts!
KUDOS on passing your Series 7 exam. Love the testing victory testimonials. Good for morale.
Just passed my final test, the 66, I think I may have scored in the 90s and 90% of that is due to you. I’m on to designations now, wish you had lectures for those. I have and will again, strongly recommend you to my firm tomorrow (Monday). Thanks Dean!
Kudos on your testing victories! Thanks so much for the referrals.
Hey Dean,
Smoked my SIE and series 7. Ive got the 66 in my crosshairs. Its going to go down, baby! Thanks for your effort on the ol' UA-cam. Your channel has been a great resource. I tell all the newbies at my firm about you. Also, whenever some one says something snide or nasty to me (which is often because i work in finance), i respond with "well, youre no fun". I got that from you, big dog!😂
Kudos on all your testing victories! The journey of 3 and 0 begins with 2 and 0.
Thank you Dean for all the content I have used your videos and practice exams as a supplement for all 3 the SIE, 7, and finally the 66 yesterday. Passed first try on a hard draw id say. The extra prep paid off! Cheers
Kudos Investment Advisor Representative!
Always very gratifying when my videos contribute to test taking victories like yours.
Thank you so much for super chat.
Dean, You are truly THE GURU, I owe my success (SIE,S7 & S63) to you… would love to meet you in person and offer you Guru Dakshina…Your teaching style of breaking down complex concepts to layman terms is quite engaging & informative…Thank you so much for all you do 🤗
Kudos on completing your test taking/registration hat trick!
Always very gratifying when my channel contributes to test taking victories like yours
Hello from France! Your content helped me pass the SIE and Series 7 last year. I am now studying for the 63 -- hopefully, I will have it wrapped up soon.
Bon chance mon ami! You will make your mark on 63 too!
Appreciate all you do Dean! I want to thank you so much for all the time, effort, and work you put in for making these videos. I recently found you over the last two weeks and you have definitely been a resource I use to help solidify and add to my studies/knowledge. Passed my 63 this morning, have the SIE and S6TO to take next!
Kudos on your Series 63 testing victory! Journey of 3 and 0 begins with 1 and O. Odd sequence. Usually test takers do SIE first, then 6, then 63.
Dean, you helped me pass my SIE and 7 the last couple weeks and I’m heading into my 63 in a few hours! Thanks for all the help
You are welcome. Very gratifying that the channel has helped so many like you matriculate through their testing journey. One last leg in your testing journey. Make it 3 and 0!
Passed the 63 today. Thanks for your help. This video is great.
KUDOS! Always very gratifying when my videos contribute to test taking victories like yours. I am very proud of this one, the Mighty Ninety!
Dean, thank you very much, all your videos and exams helped me a lot, i passed my 66 today and i want to say thank you very much again.
KUDOS!!! Time to put those registrations to work!
Passed 65 today appreciate the help through sie and 65 listened to this video on the way to testing center had several question that applied directly to the content covered here
Kudos Investment Advisor Representative! Always very gratifying when this video contributes to testing victories like yours.
@@Series7Guru honestly can not thank you enough ive reccomended you to everyone that is in training with me
Thank you so much for all of your videos . Your lectures have been immensely helpful . I’ve Learned so much from your Video’s than anything else I’ve taken so far . You made me more comfortable in passing the exam . Ty sooo much . Highly recommend watching him .
Glad you like them!
This is excellent stuff, will review prior to my exam!
Dean thank you so so much for these videos. You helped me understand the material a lot more and you helped me pass! 😁 SIE ✅ S7 ✅ S63 ✅
Kudos on completing your test taking/registration hat trick!
Always very gratifying when my channel contributes to test taking victories like yours.
great video, i really appreciate you putting this out there for free!
This is target rich. Lots of potential test points for any NASAA exam. I do take heat for my price point of free from competitors and my family. Lol.
Binging your series 66 playlist to prepare for my test!
Love it. Keep grinding!
I passed the 7 & 63 with the help of your videos.
KUDOS!!!! Glad that my lectures were helpful in making your mark,
I passed the 66 yesterday thanks to you!!!!
Kudos on the completion of your testing/registration hat trick!!! Always very gratifying when the channel contributes to testing victories like yours.
Thank you for doing these videos. Helped me and I’m sure others.
Glad you are finding them helpful.
Failed my 66 today. got a 65/100. Did well on all of your prep work and also all my kaplan exams was scoring 85-92. Guess I'll have to strategize a new study method for when I retake it in 30 days
Damn. That hurts for sure. Check out my podcast episode on 5 recommendations on how to respond to this misfortune
Passed the Series 63 this morning. Thank you again sir 🫡
Kudos!
Found this very helpful Dean, thank you!
Glad you found it helpful. Very target rich.
Great video, I wish I found these a while back. 10,000 Foot View!
Glad you found it helpful
Thank you, Dean. Great lecture.
You are welcome. This is one my favorites based on how much test content we cover in 90 minutes.
Thanks Dean! You are the MAN
Happy to help!
Our BD participated in the raise of capital for Hall Wines of Napa. We have clients in that and other investments that were offered by the Hall Group, like the Hall Arts Hotel. Thanks for this video by the way.
Craig and Kathryn make great wine and are great stewards of investor capital.
Sir, headed to the 66 Monday! I know this is an older post but still helpful!
This video old in a good way. Tried and true. Target rich!
@@Series7Guru absolutely, I'll likely watch others today and tomorrow before the big dance! This test has definitely got me spun up.
Thank you very much
De nada
this vid was gold for my students
So glad to hear that. Tried to make it as target rich as possible.
Today I am saying a very hard goodbye to the “series 7 Guru” thank you for all the late nights and toilet talks. It’s been a long journey together but it’s time to go out seperate ways.
Good by Dean
#3for3
Our reason and our season is over. Bon chance mon ami!
I aced my series 7 and failed my series 66...felt like a punch in the gut. I way overthought things and the whole federal reg, state reg, exempt, not exempt, transaction, exempt transaction threw me off. Im a visual learner and I needed a graph.
Dean is the GOAT! 🐐
Great lecture
Thank you
De nada.
Watching all your 66 videos, as my test is in about a week! Thank you for all that you do. Ive lurked for the SIE and 7 and have loved your content and have felt very confident going into it. With the 66 I feel less confident I think strictly due to the laws and regulations portion (which is the biggest). Is there any link to your slides that we can print and annotate along with? Also please let us know how we can support the channel monetarily or however. Thanks!
Unfortunately not yet.
what are the similarities in terms of content and types of questions between 63 and 65? taking both and noticed similarities was wondering so I can be sure to really focus on the information that are similar in nature to both tests to save me some time if someone can help me out here. Thank you so much by the way I passed my SIE because of you and your content! much respect and admiration for all you do, you are a living legend!
They are exactly the same on the regulatory questions but the 65 has dozens of questions on investments that the 63 does not. 63 is to be agent of a broker/dealer. 65 is to be an Investment Advisor Representative.
Great Lecture
Thank you
De nada
Your videos have been extremely helpful so far so thank you! I am hoping to take the Series 65 on Friday after one failed attempt in January. One question that has come up that I'm hoping you can answer is: Who are IARs permitted to borrow money from and who are agents of BDs able to borrow money from?
IARs can't borrow money from IA clients unless it is a bona fide lending institution and they go through the normal loan process. Agents of B/Ds can borrow from immediate family members.
Dean - Thank you for sharing your knowledge with us. This is so great.
Would you have any plans to create an additional lecture to cover communications with clients and ethics practices? Thank you.
There are already videos on both in the playlist.
Thank you for these videos, helped me pass SIE and 7 first try, working on 66! Quick question about officers of a b/d being auto registered as an agents under USA (around 19:40). I had an STC practice question something like 'Susan is a high-ranking officer, an Exec VP Comptroller of XYZ securities, is she an agent under USA.' Their answer was no she isn't an agent, an officer 'can' be, but also might not be depending on job function. So question is are they only auto registered if they meet the criteria otherwise? I thought the auto registration meant they were considered an agent solely due to being a b/d officer. Maybe I'm overthinking. 🤔
Yes. You are.
Hey Dean. Just finished the Series 63 book today
Quick question, is the series 63 only 60 questions or are their extra questions as is on the SIE and 7?
Took my first mock exam and got 41/60 so I am retaining the info pretty well!
Cant wait to dig into your lectures yet again!
Only 60 questions.
Dean… your aunt’s idea of a retirement plan = her collection of Elvis plates. 😅😂😆LOL. Such a cute image😊
Her plates did better than the market this year. Lol.
Been listening to your videos every time I get in the car these days. Trying to cram a little more in before taking the 66 in about a week. I'm a pretty visual learner... I heard you mention the Kaplan Quicksheet in one of your videos, and I just looked into purchasing it today, but it looks like it's only available to ship, not print, and my time is too short to wait on it. Do you know of anything comparable that's available on demand?
Listen to my Series 66 in 60 Minutes video
Thanks for all your help dean! I passed the 6, SIE and 63 because of your videos, I’m taking the 65 in a week,(other than ethics and USA definitions) what would you say is the most important thing to know backwards and forwards going into the 65?
Disclosures.
Just found these. Hoping they help me. Going to sit for the 65 for the 4th time. I just feel so lost when I get to the test center. Setting my date soon.
Sending you good test vibes!
Hey Dean, I love the channel! So B/D doesn’t have to register if it has no office and only institutional clients, but what about having only accredited clients? Same question for an IA. Thank you!
B/D would have to register if it has accredited investors who are residents of the state
@@Series7Guru I passed my series 66! Thank you for these videos! They were very helpful!
@@codyjennewein-j9s kudos Investment Advisor Representative!
Thanks for all you do Dean! At the 41 minute mark, when you talk about the $150 max contribution, that's for an IAR who can't vote for a candidate? Am I understanding that correctly? Thank you
Yes.
my brain is not understanding the difference:
Non-Exempt: means the security NEEDS to be registered with the state (USA)
Exempt: The security DOES need to be registered because the issuer is exempt, the transaction is exempt, or a security is exempt
I'm not understanding why both non-exempt and exempt require registration.. thanks Dean!
Exemot securities do not register they are EXEMPT.
@@Series7Guru 1:15:08 and 1:08.32 it says Does.. sorry if I'm being picky, it had me questioning everything lol. Thank you Dean.
Thanks!
De nada
Hi Dean, not sure you remember me but I took your series 7 class in Dec, I passed and wanted to say thanks, taking the 63 in a few weeks
Indeed I do..
Kudos on your Series 7 victory. Sure you will collect another victory on your Series 63.
Hey Dean….I used STC to study for the 65. Did not pass test 1, but was recommended to follow your content before going for test 2. Do you recommend more than the videos listed under your 65 playlist? Thanks
Yes. The videos are in suggested watch ordeer.
You da man Dean!
Thx.
Hi dean, thank you for this! Are the questions on the 66 point and click knowledge based questions? Or are they LONG questions like the series 7? Thanks in advance!
Mainly recognition. 3 or practical application. A dozen or so judgement. Checkout the TestGeek practice test. Very similar to the actual test.
@@Series7Guru thank you so much! I will for sure check out the TestGeek practice exam.
Hello Dean! As always you rock!! I wanted to kindly ask you, which one is the link for the video of the Series66 material that is not included in the Series 7? That you just mentioned at the end of the video.
Not sure what I said but you should check out the entire Series 66 playlist. The videos are in suggested watch order. Sounds like I was referring to Analytic Tools or Methods.
there are 6 states that do not require a 63 license but you cant do inv. adviser accounts
Hi Dean, thank you very much for this video. I’m studying for my 65 and this has really helped me thus far .
Do you have a video comparing federal and state law at all? In terms of exempt transactions, deadlines, etc? Thank you!
Unfortunately, not yet. On your exam state is more heavily tested. Makes sense it is the states not the feds that require this exam.
amazing video
It is target rich for sure
What’s the top three videos to watch for the 65? I test this Friday! I have watched quite a few and just want to ensure I put the focus to the most performance opportunities! Thanks
They are in suggested watch order in the playlist
Thanks! I believe one time I hit shuffle and wasn’t sure if they were in correct order! Enjoying the test explications!
Hey Dean (or anyone else) I have been struggling with the series 65. I currently have SIE, 6 and 63 completed. I just can’t seem to get over the hump and have failed the 65 twice. I was using STC for study material but have since bought the premium Kaplan package, am signed up for the live online class and as well as hired a tutor through varsity tutors. I seem to have the laws & regs down getting 82% and 76 % for that category but under 70% on the other 3 categories. I plan on watching this whole UA-cam series on top of my study plan above. Do you or anyone else have any tips or recommendations for my situation? Willing to do whatever it takes to pass! Thank you
Don't know if it makes you feel any better but yes. I think it is more challenging than even a Series 7.
I am studying for the series 65 using Kaplan. I am havig trouble with this queation:
Sharon Smith is an agent for Highwater Securiities, a broker-dealer registered in all 50 states. Sharon receives an unsolicited order from a bank located in State X, a state in which she has no place of business. Under the Uniform Securities Act,
I narrowed it down to 2 choices and chose the wrong one,
A) Sharon must be registered in State X in order to accept the order
B) because Sharon has no place of business in State X and the client is an institution, Sharon may accept the order without registering in State X.
I chose answer B. I thought if you didn't have a place of business in a state you didn't have to register in that state. Am I mixing some concepts somewhere?
You are confusing IAR with agent of a B/D. Sharon is not an IAR. She is an agent of a B/D.
@@Series7Guru Thank you! I am re-watching your video. Very helpful
Passed S7 yesterday - huge thanks to Dean Tinney!! Will be signing up for your'e class no doubt for 66.. will there be a textbook or material with Kaplan soon? Or is current LEM edition #11 most recent with no expected change?
KUDOS on passing your Series 7 exam!!! See you for the last leg of your testing hat trick. 11th edition is the most recent.
Dean Tunney- call me - want to say hello - Jeff Kilpatrick- Newport securities. What happened to my Targa? Would be 50 years old this year. Same old phone number except 951 area code….. given your memory you probably still remember it from 1985. Still in business - 44th year.
Will call today. Sunday 8/8
Got a 62% on a practice SIE exam .... Closing in
Keep grinding!
Hi Dean,
This will be my fifth attempt at taking the Series 65 exam. When I lived in NY, it was not required to pass a test (Just pay a fee). Now that I have moved to Virginia, a test must be taken so that I can work with my advisory clients again. I tried just studying test questions, attending an online class, an inperson review class and now I am concentrating on on Definitions, abbreviations and formulas. I walk in to the test thinking I will pass the test, but then when I look at the questions, I can't remember anything. Very determined to get this done. Any ideas (other than a new profession) ? Do you have experience with other students in this situation? I will be intently viewing your videos.
Yes. The struggle for some is real! Try to get past the poor language and grammar on the test and avoid getting in the weeds. Go for the big picture on this next attempt.
Good afternoon Dean, For the IA firm the A.B.C test applies and for the IRA does not apply? I just got my ideas crossed. What would be for the IAR so I can identify him/her in a question to be presente?
The ABC test is about the firm not the IAR.
When questions ask about investment company act of 1940 they are referring to federally covered items ?
Depends on context of the question
@@Series7Guru thxx
For the IARs political contributions you can donate $350 to a candidate you are entitled to vote for. I am confused on what the $150 dollar limit is for. Is it for candidates you cannot vote for?
Yes.
Dean, what happens when the sale is unsolicited in reference to disclosures? Are disclosures delivered in the same way as solicited? Like the time, brochures and whatever else…
There are no disclosures just marked or document that it was unsolicited.
Dean - As always thank you for your content. Would you please confirm if a B/D (firm) and its agents acting as a 3rd party solicitor for federally covered IA do not need to register as an IA and IAR respectively? Thank you.
As I said in this lecture, they do not.
@@Series7Guru thank you very much
I really don’t understand the series 63… I was able to pass Sie and 6 first try but the 63… I’ve taken for 2x (68 and then 70) .. ahhh
NASAA exsms are a beast for sure.
Hi Dean! A little confused with Reg D. I understand they are exempt from both SEC and STATE registration. However on 1:15 when you talk about PRIVATE PLACEMENT limited to 10 offers I got lost...
How does that fit to Reg D???
It doesn't. USA state private place is different than 33 Safe harbor Reg D private placement
Awesome Vid.
Thank you. Tried to make it as target rich as I could.
@@Series7Guru very informative and I appreciate the information. I'll be taking my 65 the 1st of December. Thanks again
Dean- do you have videos on the ethics and comms with clients avail yet ?
I do it is in the playlist. Thumbnail is an angel and a devil sitting on the shoulder on the shoulder of the rep.
Hey dean, I just started the series 66. What’s the first video I should watch? I’m a little lost. Thank you
The videos are in suggested watch order in the Series 66 playlist
Hey Dan! I am taking my S66 in two days. Which summary or which important video or videos should I watch?
They are in suggested watch order in the playlist. This one is a great start.
Dean , What are some date deliver differences for the USA act in comparison to those on the S7? (i.e. those that are different and same. ie. options etc)
Fred, really? The channel is self serve. On the top of my head three dates are December 31, Annually, and noon of the 30th day.
Can a registered investment advisor sell a publicly-registered non-traded security?
Investment Advisor (firms) are not compensated for selling any securities.
Hi Dean- I want to create a cheat sheet for the s66 which will focus mainly on regulations since they are highly tested. Do you suggest I base it off of this specific video here since its highly informative. Thank you in advance Dean.
No. I would base it on TestGeek paid supplement. With Guru20 discount can get QuickNotes for $36. Has some very neat "cheat sheets" that would lend itself to your own.
@@Series7Guru oh perfect I will do that thank you Dean.
Thanks for the content. What type of attorneys mostly take this exam?
Estate attorneys
Hey Dean do you have a video of '33 and '34 act as it pertains to this? Thank you!
Yes.
Testing tomorrow, does the 63 exam have more questions about the broker dealer or more about the investment Adviser? Or does it just depend on the draw
Broker/dealer
Quick question, I am using Training Consultants and on the Practice Exams they us a-lot of the "roman numeral" formatted questions, where you have to choose how many of the numerals will answer the question, will this format be seen on Series 66?
Yes but not many. Max 4 or 5.
Hello Dean, if Mutual Fund is a federal covered securities, it still needs to register under notice filing? Thank you
Notice filing is NOT a form of registration
hey dean what do we need to know /testable regarding Section 3(c)(7) exemption of 1940?
Nothing