James: Series 27 course instructor
...an NASD sales and investment advisory firm, and a transfer agent. In 1983, I earned a Master's in Business Administration from Illinois State University with a specialty in the field of Finance. I also taught there for a period of time and authored two books: The Do-It-Yourself Investor and Do-It-Yourself Investment Analysis. The former book was chosen by Sylvia Porter as one of her top business books for 1987. While completing my MBA, I also...
Education & Certification
- University of Illinois at Urbana-Champaign - Bachelor in Arts, Business, General
Subject Expertise
- Series 27
- Series 63
- Series 53
- Series 7
- +24 subjects
Peter: Series 27 course instructor
...a producer. To see my career path including all the licenses I obtained, view me at Broker Check: https://brokercheck.finra.org/individual/summary/1313689 and see that I had all the licenses. I also was the prime lead instructor for a Series 7 school years ago before publishing training manuals that became the big business we see today. My peers, other broker-dealers, had enough confidence in me to elect me to two different FINRA offices. One was regional office and...
Education & Certification
- Rensselaer Polytechnic Institute - Bachelor of Science, Materials Engineering
- California University of Pennsylvania - Master of Science, Mathematics and Statistics
Subject Expertise
- Series 27
- Series 7
- Series 53
- Series 7 - General Securities Representative Exam (Stockbroker)
- +38 subjects
Mary: Series 27 course instructor
...quantitative trading roles. I became a market maker, providing liquidity to the public orders, a specialist, keeping an orderly book of all public orders, and floor manager, overseeing the daily operations. The environment was dynamic, highly demanding, requiring laser focus, preparation and stamina. An integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new hires from top universities....
Education & Certification
- Dickinson College - Bachelor in Arts, Economics
- Northwestern University - Masters in Business Administration, Finance
Subject Expertise
- Series 27
- Series 66
- Series 99
- Series 79
- +105 subjects
Jim: Series 27 course instructor
...over 20 years and have a good understanding of many different areas. I will do my best to help the student by simplifying the material and using everyday tasks as examples. Exams I have taken (and passed on the first try): Series 7 (General Securities), Series 24 (General Securities Principal), Series 4 (Registered Options Principal), Series 27 (Financial and Operations Principal), Series 53 (Municipal Securities Principal), Series 66 (Investment Advisor Representative) and PA Life and...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Finance
Subject Expertise
- Series 27
- Series 7
- Insurance License
- Series 4
- +16 subjects