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Excellent Tutor for SIE/7/65/66 Exams with 25+ yrs RIA & B/D exper.
Ken C.

4.7 (89 ratings)

330 hours tutoring

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About Ken

Bio

I have helped tons of reps pass the FINRA exams - and I'm very affordable. I live in Connecticut. I am now retired after 25+ years as a financial services industry professional. I have my BS from Providence and MBA from Northeastern. I held the FINRA Series 7, 6, 24, 65 and 4 in management roles with broker/dealers (Fidelity, DE Shaw/FarSight Financial) and wealth managers (Athena Capital, Windrose Advisors). I managed broker/dealer & RIA operations, trading, compliance and client services....

I have helped tons of reps pass the FINRA exams - and I'm very affordable. I live in Connecticut. I am now retired after 25+ years as a financial services industry professional. I have my BS from Providence and MBA from Northeastern. I held the FINRA Series 7, 6, 24, 65 and 4 in management roles with broker/dealers (Fidelity, DE Shaw/FarSight Financial) and wealth managers (Athena Capital, Windrose Advisors). I managed broker/dealer & RIA operations, trading, compliance and client services. Knowledge of investments across all asset classes, including hedge funds, PE/VC and other alternative investments. I took a couple of years off to deal with some family matters, but I'm back helping FINRA Exam candidates prep to pass exams, and also helping HS students with their college essays and young adults develop their securities industry and wealth management careers.

My professional background includes seven years at Fidelity Investments, two years at the DE Shaw Group, six years at Athena Capital Advisors, and eight years at Windrose Advisors. I have worked in broker/dealer operations, RIA operations, investment sales, trading and I have been part of investment technology startups. I was a Real Estate agent for 2 years recently with Houlihan Lawrence Wareck D'Ostilio in Southeastern CT. I now manage homes on Airbnb for myself and a small number of clients. I have worked with young adults on college applications for years, and I have helped college grads with their career dev including resumes.

My teaching style focuses on understanding your background and goals and how you learn.
For FINRA exam prep I target the units that are the most challenging and understanding the fundamentals of a topic, how it relates to real-world practices, including the corporate world and one's own personal financial management. I also give tips on handling the question formats, overcoming test anxiety and passing!

I am energetic and enjoy seeing students succeed and achieve their professional goals.

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Education

Providence College
Business Management
Northeastern University
MBA

Policies

  • Hourly Rate: $45
  • Rate details: Minimum 1 hour sessions. Discounts for 3+ sessions
  • Lesson cancellation: 1 hours notice required

  • Background check passed on 10/2/2009

  • Your first lesson is backed by our Good Fit Guarantee

Schedule

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Approved Subjects

Career Development

Career Development

I have extensive experience working with professionals and college seniors with career development, resumes, networking, and the job interview process. I focus on those interested in pursuing a career in Financial Services, leveraging my experience in advisory services, investment management, investment technology and brokerage operations. I have 15+ years' experience within investment firms, recruiting, training and developing young professionals, helping them to define their personal and professional objectives and achieve their goals. I also have 3 years of experience consulting with individuals and entrepreneurs with career development issues, examining their goals and interests, developing resumes or business plans.
College Counseling

College Counseling

I have 4+ years experience working with high school students on the college application process, including resume development, financial aid, essay writing and choosing schools. I have extensive business and academic writing skills - from 20+ years in the wealth management industry and from the Northeastern MBA program. I helped my five children with their personal stmts, apps and searches also. Schools attended include St Lawrence, Durham Univ (UK), UNH and George Mason. And have volunteered with 826 Boston and Big Brothers HS mentoring programs to help inner city students with their college essay writing. I am familiar with admissions requirements and the best evaluation methods for NE schools, national schools MBA programs and UK-based universities.
Series 6

Series 6

I worked in different management roles in securities/inv operations for Fidelity Brokerage Services (B/D), DE ShawFarSight Financial Services (B/D), Athena Capital Advisors (RIA) and Windrose Advisors (RIA) over a 25 year period. I held the Series 7, 6, 63, 65, 25 and 4 licenses during my career. And I have tutored many exam candidates successfully - both on Wyzant and professionally during my investment career.
Series 65

Series 65

I held the Series 65 license for over 15 years in my management roles at Athena Capital Advisors and Windrose Advisors. I have successfully tutored many candidates for the Series 7 and 65 exams both on Wyzant and professionally during my career.
Series 66

Series 66

I held the Series 65, 63 (66 covers the 65 and 63 now), 7, 24 and 4 during my 25 years in mgmt roles in the investment industry with Fidelity, JP Morgan and two multi-family offices. I have tutored for over 4 years on the FINRA exams including recent work with two 65 candidates and currently working with a 66 candidate who I spent weeks preparing and passing the Series 7.
Series 7

Series 7

I have been tutoring the Series 7 for over three years. I have extensive brokerage and investment advisory operations, sales and management experience. I was FINRA Series 65 licensed, as well as being previously Series 7, 24 (General Securities Principal), and 4 (Options Principal) licensed. I worked in B/D operations and RIA operations, and have managed securities trading for different firms. My approach is to concentrate on concepts the student needs the most help with, discuss real-life examples of concepts and use multiple learning resources other than the study manual to ensure success.
SIE Exam (Securities)

SIE Exam (Securities)

I am an experienced tutor for candidates of the Series 65, 7 and SIE exams both on Wyzant and direct work through referrals. I worked for Broker Dealers and RIA's during my 25 year career in trading, operations, client service and wealth management across all asset classes.
Ken C.'s Photo

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Ratings and Reviews

Rating

4.7 (89 ratings)
5 star
(71)
4 star
(14)
3 star
(2)
2 star
(1)
1 star
(1)

Reviews

Down to Earth and personable

I failed the first attempt of my SIE. Ken helped me narrow down my problem areas and set me straight on topics that I scored low on my exam. Ken leveled with me and was not hyper serious, which helps a lot when talking out seemingly easy things.

Justin, 2 lessons with Ken

Great Teacher!

He really helped me analyze different questions and underwear what was being asked me. He gave me tips on how to remember certain things.

Angie, 4 lessons with Ken
Tutor responded:

I helped Angie prepare for the Series 7 recently. And I believe she meant to say "...and understood what was being asked..."

A good first meeting

Ken and I mapped out a basic framework for my studies over the next 3 months and I now have a place to start. He shared some good resources and was able to explain something to me that I've been struggling with for several weeks.

David, 1 lesson with Ken