Serries 7, SIE, Series 6 Exam Prep Customer Accounts. Series 65/66 exam too.

00:00 Opening 0:48 Personal balance sheet Assets vs liabilities Working capital Current ratio 5:18 Know your customer Balance sheet Cash flow 7:56 investment objectives 9:38 Non-financial profile Age, marital status, tax status employment, risk 10:58 Accredited investors Reg D 12:05 Cash account & margin account 14:00 Full vs limited POA 17:10 Primer brokerage account & DVP 19:27 Day trading accounts 4 trades in 5 days 25k min 20:30 Individual accounts 20:49 JTWROS vs Tennant in common 22:56 Practice exam question 24:00 Custodial accounts UTMA UGMA 27:33 Test question 27:46 Transfer on death 28:50 test question 30:45 Business accounts Sole prop General partner Limited partner S, C Corps 33:00 Account opening requirements Trusted account person 35:45 Account changes 36:22 Practice question 38:31 Qualified vs Non-qualified Taxes and plans 43:12 All about IRA's 45:07 Transfer vs rollover 46:00 Two types of Corporate plans 48:18 Retirement account restrictions 49:19 Roth IRA's 51:40 Practice question 52:25 Tax sheltered annuities 54:33 ERISA 58:52 Conclusion