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Myles Hernandez
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Decks in this class (19)
Unit 23
Sharpe ratio,
Irr notes,
Time weighted return dollar weigh...
4
cards
Unit 1
Definition of a person easier wha...,
3 prong test for investment advisers,
Investment counsel criteria 2
29
cards
Unit 14
Letter of intent timelines,
Private funds,
Private funds generally hold thei...
6
cards
Unit 12
Dividend models,
Dividend discount model,
Dividend growth model
3
cards
Unit 2
Investment advisor representative,
De minimus applies,
If they are a federally covered a...
12
cards
Unit 21
Tax considerations alimony and ch...,
Portfolio income,
Dividends
35
cards
Unit 20
Deflation hedge,
3 major asset classes,
Active portfolio mgmt sector rota...
17
cards
Unit 6
Broker dealers must always indica...,
Investment advisor disclosure of ...,
Iar acting as bd
19
cards
Unit 4 - Regulation Of Securities And Issuers
What is not a security,
Issuers and registering securities,
Issuer transaction
30
cards
Unit 5 (Partial)
Offer or offer to sell,
Radio tv jurisdiction of the admi...,
Does an administrator in state a ...
14
cards
Unit 24 - Retirement
Who is responsible for the catch ...,
Spousal ira,
When can ira contributions be made
21
cards
Unit 3 - Regulation of Broker-Dealers and Their Agents
Broker dealer definitionwhen are ...,
Broker dealer exclusions from reg...,
Federal exemption from registrati...
19
cards
Unit 10
Formula to compute alpha,
Formula to compare 2 portfolios b...,
Formula compute alpha when rf rat...
28
cards
Unit 13
Indenture,
Long term debt financing,
What type of bond quote is 90 1 4...
24
cards
Unit 15 - Insurance Products
Starts at Universal Life
25
cards
Unit 16
Derivative securities examplesvot...,
Standardized items in options 3,
2 most important factors influenc...
9
cards
Unit 17 - Alternative Investments and Other Assets
Dpp,
Types of alternative investments 4,
Responsibility roles of a general...
17
cards
Unit 18 - Types of Clients (Includin Parterships and Co.'s)
Sole propietorship notes,
Partnerships and llcs are general...,
Benefits of structuring ga busine...
9
cards
Unit 19 - Client Profile
Investment constraints 4,
Subjective consideration vs objec...
2
cards
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Series 66
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