7 Steps to a Career as a Financial Professional

By Jonathan Miller | Becoming a Financial Professional, Second Career

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Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. Investors should carefully consider the investment objectives, risks, charges and expenses of each fund. This and other important information is contained in each fund's prospectus and summary prospectus, which can be obtained from a financial professional and should be read carefully before investing. Parsonex Financial Services is the marketing name for Parsonex Securities and affiliates. Securities offered through Parsonex Securities, Inc. Member FINRA / SIPC. 8310 S. Valley Highway, Suite 110, Englewood, CO 80112, 303-662-8700.
The term financial advisor or financial adviser may only be used by individuals who are affiliated and properly licensed with a registered investment advisor and offering fee based advice to their clients. The term financial advisor is not appropriately used for representatives of broker dealers who are providing advice incidental to the sale of securities products and earning commissions. This website uses the terms financial advisor and financial professional in different sections and is intended to apply to a career as a financial professional or financial advisor. Nothing in this content should be considered to imply that the term financial advisor or financial adviser may be used in any context not permitted by existing federal and state regulations. Representatives who register with a broker dealer and earn commissions are not considered financial advisors and in order to become a financial advisor, individuals must pass their Series 65 or Series 66 and be affiliated with a Registered Investment Adviser (RIA) or fall under other specific exemptions allowed per SEC rule. Individuals new to the industry may elect to become registered representatives with a broker dealer prior to affiliating with a Registered Investment Adviser and as such, the term financial advisor or financial adviser would not be permitted to be used by such individual until such a time when they were compliant with applicable rules.

Second Career

7 Steps to a Career as a Financial Professional

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