Financial Services Professionals use financial strategies and techniques to provide solutions to individuals and businesses to help them accumulate, protect and distribute wealth.

They must also undergo ongoing education to maintain competency and to hold the appropriate licenses for the products and services they offer to their customers.

In this section of the mountain i.e. Auburn Mountain, we offer Continue Education resources in the following areas for Financial Services Professional:

RESOURCES

• Securities Licensing
• Insurance Licensing
• Insurance CE
• Securities CE
• Sponsorship
• Visa Sponsorship
• Regulation
• Associations & Institutes
• Professional Designations

Securities Licensing: We discuss the types of securities licenses  and their requirements. We point you to FINRA BrokerCheck® to check your background and U-4 information. We also provide resources for free online exam and tests to FINRA Exams and NASAA Exams i.e. Series 63, 65, and 66

Insurance Licensing: We discuss insurance license state by state requirements and provide resources for licensing.  Although licensing occur on the state level…we take a look at the new Federal Insurance Office.

Continuing Education: We help you improve your skills necessary to excel as a Financial Services Professional. We provide timely training and educational resources to get you there and we help keep you there as well.

Insurance CE: Financial Professionals need Insurance CE courses that are completely accredited and applicable for their insurance license renewal. We provide resources to quickly determine the requirements as well as study material and exams.
 
Securities CE: FINRA in conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, administers the continuing education program for the securities industry. Continuing education consists of two mandatory programs: a Regulatory Element and a Firm Element. We will take a close look at these programs and how they impact you.

Sponsorship: You need to understand that you can take preparatory classes or study by computer based training (CBT) on your own but you need to be sponsored by a FINRA Broker-Dealer to sit for most FINRA Exams e.g. Series 6 and 7. We dive deep into the process.

Visa Sponsorship: Often at the end of a job ad for Financial Services…it will say: “Are you legally authorized to work in the U.S. without visa sponsorship for employment?  Due to restrictions imposed by U.S. immigration laws, individuals who require visa sponsorship may be ineligible for consideration as a Financial Services Professional.”. . Nevertheless we must have a discussion of the types of work visas allowed in the USA.

Regulation: Multicultural Financial Services Professionals will evoke the wrath of international regulators if they violate securities and insurance compliance regulations in other countries as well as the United States. We provide gateways and discussions to avoid these traps. If you are not comfortable or familiar with these agencies ; FINRA, SEC, IARD, NASAA,  FIO and ICA…you will be when we are done.

Associations & Institutes: Financial Services Professionals today need a global prospective. Most Insurance and Investment associations’ websites in the USA do not provide this prospective either because it is not profitable or this simply does not fit their business model. Auburn Mountain Financial Education Services provides information from a global prospective.

Professional Designations: There are approximately hundreds of thousands of Financial Services Professionals to choose from.  The consumer has to make sense of the noise and find the lighthouse that will provide the counsel that guides them through the financial fog. So how does the American public and businesses make the choice?

Straightforward and Helpful

Financial Services Professionals will find the Financial Education section of Auburn Mountain refreshingly straightforward and very helpful without the product spin and subliminal sales rhetoric.