How to Understand And Master Securities Laws & Regulations

A Manual for Series 66 Success

by Thomas Anthony Guerriero


Formats

E-Book
$5.99
Softcover
$13.42
E-Book
$5.99

Book Details

Language : English
Publication Date : 9/4/2012

Format : E-Book
Dimensions : N/A
Page Count : 158
ISBN : 9781466954908
Format : Softcover
Dimensions : 8.25x11
Page Count : 158
ISBN : 9781466954892

About the Book

Navigating the financial markets can often be a confusing and frustrating enterprise. But author and seasoned CEO Thomas Anthony Guerriero provides a unique take on the inner workings of the market and applies concepts and theories known only by the most successful in the industry. In his new book, How to Understand And Master Securities Laws & Regulations, Guerriero provides a detailed breakdown of the fundamentals, concepts, and terminology behind the financial markets. This guide is intricate enough to further the development of rising stars in the industry, yet thorough enough to prepare the most inexperienced beginner for licensure. It touches on such concepts as the following: State regulations Federal regulations, laws, and guidelines Investment vehicles and characteristics Client recommendations and strategies Retirement plans Quantitative measures of investment risks


About the Author

Mr. Thomas Anthony Guerriero is currently the founder and chief executive officer (CEO) of WMX Group Holdings Inc. He has years of extensive upper executive experience. Mr. Guerriero began his career in the financial markets in 1998 and, soon thereafter, earned the position of senior vice president of the securities division of First Union (FTU: NYSE), one of the largest institutions in the world with over $400 billion in client assets. After First Union was acquired by Wachovia (WB: NYSE), Mr. Guerriero continued to build his client base and team through several institutions and think tanks, eventually etching his name in stone industry-wide, by becoming the CEO of a member firm, TAA. There he gained the prestigious recognition of being one of the youngest individuals to ever head a member firm. His success at TAA led him toward the second acquisition in his career, this time by High Point Capital. Mr. Guerriero’s unique ability to create unique systems both technical and fundamentally, recruit, train, mentor, and inspire individuals through his creative methodologies has led him to be recognized as a global force to be reckoned with. His most recent acquisition was at the helm of Global Wealth as CEO. He was able to maximize profitability and surpass all expectations in the face of the toughest economic climate of our generation, leading toward the third acquisition of his career of Global Wealth and its Institute of Finance. As one of the most talented minds and influential people in the world today, he shows no signs in letting up. In 2011, he was nominated, accepted, and confirmed as one of the youngest inductions ever into Marquis’s Who’s Who in America. Also, in 2011, Mr. Guerriero became one of the youngest owners of a professional sports team. He became an owner of a professional basketball team, the Springfield Armor in the NBA D league (The Brooklyn Nets Affiliate). Mr. Guerriero attended graduate school at Harvard University, holds two graduate certificates from Boston University and University of Notre Dame, has two BA degrees from Fairleigh Dickinson University and Thomas Edison State. He has held several professional licenses over the course of his career Series 7, Series 63, Series 66, Series 24 licenses. Always looking for a challenge, Mr. Guerriero is a former professional soccer player, holds several world records, climbed two of the seven summits, been featured in a major motion picture with Oliver Stone, been featured on television around the world, and is a published author with How To Understand & Master The Stock Market and Plan For Crisis.