Mary: Series 99 tutor
Certified Series 99 Tutor
...as financial engineers in various financial centers - Chicago, Zurich, London, Paris, Tokyo, Hong Kong. My assignment was in the bank's headquarters of Zurich, Switzerland within the Treasury Group where I priced, hedged, executed, and made markets on OTC derivatives, structured product and warrants held by the coveted AAA balance sheet. This multi-year experience proved to be mutually beneficial both to my professional career, as it was for the bank's global securities businesses (particularly US...
Education & Certification
Dickinson College - Bachelor in Arts, Economics
Northwestern University - Masters in Business Administration, Finance
Hal: Series 99 tutor
Certified Series 99 Tutor
...and inspire them to succeed. I enjoyed a nearly thirty-year career in financial services where I worked as a financial planner, wire-house broker (stockbroker), trust advisor, and wealth advisor. I worked the broker-dealer channel, the bank channel, and the independent channel. I developed and took an introducing brokerage firm through the entire FINRA (then NASD) creation and registration process. I attended what was then a week-long Brokers Option Course at the Chicago Board of Options...
Education & Certification
Frostburg State University - Bachelor of Science, Accounting and Business Management
Frostburg State University - Master of Science, Management Science
Warren: Series 99 tutor
Certified Series 99 Tutor
I have enjoyed and prospered for 40 years in the security industry. If I can help another person have the same success then I have truly accomplished something. I attended the University of Illinois but my life education is from experience running brokerage and registered investment advisory firms. My approach to training starts with an understanding of the individual's needs from there we can structure an approach around the unique needs of each individual.
Education & Certification
College of Financial Planning - Associate in Arts, Financial Planning
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Receive personally tailored Series 99 lessons from exceptional tutors in a one-on-one setting. We help you connect with in-home and online tutoring that offers flexible scheduling and your choice of locations. Varsity Tutors helps thousands of people asking, "How do I connect with the best Series 99 tutors near me?"
The Series 99 is a financial license and exam, which is also called the Operations Professional License. As the name suggests, individuals who pass this exam are able to become registered operations professionals who can perform a number of functions for a broker-dealer. The Series 99 exam features 100 multiple-choice questions, which must be finished within a two-hour-and-thirty-minute time limit. Candidates must answer at least 68% of these questions correctly in order to receive their Series 99 license.
The exam is broken into two major categories - equity and debt. The Securities Institute defines equity as stock, which means that those who purchase equity from a company form an ownership relationship with that company. Debt differs from this in that those who purchase debt from a company are actually loaning that company money. Therefore, they become a creditor to that company. Whereas equity creates an ownership relationship that won't go away unless the security is sold, debt typically has a maturation date that terminates the creditor relationship between investor and company. Individuals who wish to receive their Series 99 license should spend time going over these concepts before taking the exam.
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