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The Securities Guys' Registered Representative University* Program

Jeff Tharp

The Beauty

Brian Kolins

The Brains

This is our Complete and Total Registered Rep Package (SIE, 6, and 63).
This is our complete self study university for each of those classes, all of our live classes as well!

This is our Ultimate Package; you get everything we offer for all of the exams, without having to pick and choose different parts!

Prices for each separately are listed next to the item.

For the SIE

Our 2-day live weekend lectures ($129)
Our 1-day live saturday "Stuff to Know Before you Go" classes ($50)
Our weekly 3 hour "Study Course" on Monday Evenings, going through questions, and material from students live. ($149)
Our Whatsapp group for questions answered by Jeff and Brian ($250 Elite)
Our Wednesday Evening 1-hour live Question Groups with Jeff ($250 Elite)
Our Complete SIE University ($99);
All of the Lectures broken down into smaller, more manageble chunks.
All of the resources; Animations, posts, Pictures, and more, organized and aligned with the lectures they go best with!

For the Series 6

For the Series 63

Our 1-day Live Lecture & Question class (2 a month) ($50)
Our Complete Series 63 University ($50)
All the Lectures broken down into smaller more manageble chunks.
All of the resources; Animations, Posts, Pictures, and more, organized and aligned with the lectures they best go with.

Easy to Start, Cancel Anytime!

All of the Materials needed
We suggest you work on 1 Exam at a time. 5-8 weeks for the SIE, 2-4 weeks for the Series 6, 1-3 weeks for the Series 63
Cancel Anytime
Use it for exactly as long as you need it!
3-day trial included!

What's Included?

All of EVERYTHING! The All Access Pass to all materials, all classes, everything we do for the exams!
All Animations
All Additional Posts
Additional Videos with Jeff and/or Brian explaining topics

Email Support

Whenever you have a question, you will be able to email questions, and Jeff and/or Brian will respond. You might get both :)

Proven Success

We have helped over 6,500 people pass an exam since 2020. Will you be next!?

Outline of the SIE

Introduction and Live Class Links

The first test every Securities Licensed Representative takes, is the SIE Exam, The Securities Industry Essential Exam. You want to work on the exams, 1 at a time, do not study them all together.

About This Program
About Jeff and Brian
About and how to use this system
Introduce Yourself
Frequently Asked Questions
Complete Slide Book
Brian's Text Book (not slides for class)
Post: Time Management
FINRA Outline

Live Class Links

This is where all of the live zoom links are. Remember, you have access to ALL of our materials, our Monday Classes, Our Weekend Classes, all of it!

Chapter 1 Laws

Chapter 1 Laws Intro
Chapter 1 Summary
Introduction to Chapter 1

1.1 The Securities Act of 1933

Securities Act Lecture
The Securities Act of 1933 Quiz

1.2 Offering Documents

Offering Documents Lecture
Picture: Equity Offering Documents
Offering Documents Quiz

1.3 The Securities Exchange Act of 1934

Securities Exchange Act of 1934 Lecture
The Securities Exchange Act of 1934 Quiz

1-4 SROs

SROs Lecture
SROs Quiz

1.5 The Investment Company Act of 1940

Investment Company Act of 1940 Lecture
Picture: Types of Investment Companies
The Investment Company Act of 1940 Quiz

1.6 Random Laws

Random Laws Lecture
Post: Money Laundering
Picture: Anti-Money Laundering
Picture: State Securities Registration
Random Laws Quiz

1-7. Books and Record Requirements

Books and Record Requirements Lecture
Picture: Record Retention
Books and Record Requirements Quiz

1-8. Prohibited Activities Part I

Prohibited Activities Part I Lecture

1-9. Prohibited Activities Part II

Prohibited Activities Part II Lecture
Complete Prohibited Activities Quiz

Chapter 2 Securities

Chapter 2 The Securities Intro
Introduction to Chapter 2

2-1. Basics of Securities

Basics of Securities Lecture
Picture: Broker/Dealers
Picture: Liquidation Order
Basics of Securities Quiz

2-2. Equity

Equity Lecture
Post: Issuing Securities
Picture: Issuing Shares
Equity Quiz

2-3. Preferred Stock

Preferred Stock Lecture
Post: Reasons and Attachments of PS and Bonds
Picture: Features of Preferred Stock and Bonds
Preferred Stock Quiz

2.4 Bonds/Debt

Bonds/Debt Lecture
Animated Current Yield
Animated Bond Teeter Totter
Credit Ratings
Post: Bond Pricing, Why are they not always $1,000?
Post: Bonds
Picture: Bond Teeter Totter
Picture: Interest/Prices/Yields
Extra Quiz: Convertible Bonds and Preferred Stock
Extra Quiz: Bonds Premium Par Discount
Bond/Debt Quiz

2-5. Bond Quotes

Bond Quotes Lecture
Bond Income Quiz
Bond Quotes Quiz

2-6. Bond Issuers

Bond Issuers Lecture
Animation: STRIPS
Post: Zero Coupon Bonds
Post: Bond Quotes
Post: Gov't Securities
Picture: Direct Government Debt

2-7. Bond Issuers II

Bond Issuers II Lecture
Post: Corp-Muni Equivalence
Picture: Ratings Chart
Picture: Municipal Bonds
Picture: Corporate-Municipal Equivalence Formuals
Picture: Corporate-Municipal Equivalence Example
Complete Bond Issuer Quiz
Animation: Corporate and Muni Equivalence Explanation
Animation: Corporate and Muni Equivalence Example

2-8. Secured and Unsecured Debt

Secured and Unsecured Debt Lecture
Secured and Unsecured Debt Quiz

2-9. Pooled Investment Products

Pooled Investment Products Lecture
Animation: Boat and Warehouse
Post: Open & Closed-End Funds
Picture: Regulated Investment Companies
Picture: Diversified Investment Companies
Picture: Open and Closed end Funds
Pooled Investment Product Quiz

2-10. Open End Investment Companies

Open End Investment Companies Lecture
Post: Breakpoints, LOI, ROA
Post: Mutual Funds in Extra Detail
Picture: Mutual Fund Share Classes
Picture: Mutual Fund Share Class Time and Money
Picture: Positions in a Mutual Fund
Open End Investment Company Quiz

2-11. Annuities

Annuities Lecture
Post: All About Annuities
Picture: Assumed Interest Rate
Annuities Quiz

2-12. Misc Investments

Misc Investments Lecture
Trade of the Century from Pricenomics
Misc Investments Quiz

2-13. Derivatives Part I

Derivatives Part I Lecture

2-14. Derivatives Part II

Derivatives Part II Lecture
Animation: Options Quote Explanation
Animation: People Buying and Selling Options
Animation: The 4 Basic Options
Post: Puts and Calls
Picture: Options Vocabulary
Picture: Bull Bear Put Call 2x2
Picture: Options Put to and Call from
Picture: Options 10 Words
Picture: Options Market up and down 6 options
Picture: Graph of profit/loss of options

2-15. Derivatives Part III

Derivatives Part III Lecture
Animation: In/Out/At-the-Money
Picture: Options ITM
Extra Quiz: In/Out/At-The-Money

2-16. Derivatives Part IV

Derivatives Part IV Lecture
Picture: Opening and Closing Picture

2-17. Derivatives Part V

Derivatives Part V Lecture
Picture: Options Graphic Options Grid
Extra Quiz: Option Breakeven
Extra Quiz: Intrinsic/Extrinsic Value
Extra Quiz: Option Min and Maxes
Extra Quiz: Protection with Options
Extra Quiz: Profit/Losses on Options
Complete Derivatives Quiz

Chapter 3 People

Chapter 3 The People Intro
Introduction to Chapter 3

3-1. Account Types and Characteristics

Account Types and Characteristics Lecture
Account Types and Characteristics Quiz

3-2. Account Registrations

Account Registrations Lecture
Post: Account Description
Acount Registrations Quiz

3-3. Retirement Accounts

Retirement Accounts Lecture
Animation: Vesting
Post: Retirement Plans
Picture: ERISA
Retirement Account Quiz

3-4. Municipal/Education

Municipal/Education Lecture
Post: Educational Funding 529 and Coverdell
Municipal/Education Quiz

3-5. Communications with the Public

Communications with the Public Lecture
Communications Quiz

3-6. Associated Persons Part I

Associated Persons Part I Lecture

3-7. Associated Persons Part II

Associated Persons Part II Lecture
Animation: Rule 144
Picture: OBA and Selling Away
Picture: Rule 144
Complete Associated Persons Quiz

3-8. Roles of Participants

Roles of Participants Lecture
Roles of Participants Quiz

3-9. Market Maker Details

Market Maker Details Lecture
Animation: Market Maker Quote
Picture: Market Maker Quote
Market Maker Quiz

3-10. Disclosures

Disclosures Lecture
Disclosures Quiz

Chapter 4 Economics and Math

Chapter 4 Economics and Math Intro
Introduction to Chapter 4

4-1. Basic Economics

Basic Economics Lecture
Post: Basic Economics
Picture: FRB Actions
Basic Economics Quiz

4-2. Business Economic Factors

Business Economic Factors Lecture
Picture: Money Supply Problems
Business Economic Factors Quiz (working on)

4-3. International Economic Factors

International Economic Factors Lecture
Animation: Currency
Picture: Strong Weak Dollar
International Economics Factors Quiz

4-4. Investment Returns

Investment Returns Lecture
Animation: Dividend Dates
Animation: Marginal Taxes
Post: Dates with Dividends
Post: Cost Basis
Post: Marginal Tax Rates
Post: Accounting FIFO and LIFO
Picture: FIFO and LIFO
Picture: IRS and Taxes
Picture: Dividend Dates
Picture: Marginal Taxes
Investment Returns Quiz

4-5. Corporate Actions

Corporate Actions Lecture
Corporate Actions Quiz

4-6. Splits and Reverse Splits

Splits and Reverse Splits Lecture
Animation: Splits and Reverse Splits
Animation: Cost Basis Per Share
Picture: Splits and Reverse Splits up and down
Splits and Reverse Splits Quiz

4-7. Types of Risks

Types of Risks Lecture
Post: Risks for the Exams
Types of Risks Quiz

4-8. Strategies for Risks

Strategies for Risks Lecture
Animation: Hedging
Post: SIPC
Picture: SIPC
Strategies for Risk Quiz

4-9. Indices and Benchmarks

Indices and Benchmarks Lecture
Indices and Benchmarks Quiz

4-10. Securities Orders

Securities Orders Lecture
Animation: Order Story
Picture: Types of Orders Detailed
Picture: Types of Order Keywords
Picture: Order Tickets (SLABS & BLISS)
Securities Orders Quiz

Conclusion

Conclusion

Course Evaluation Long
Instructor Long
Test Tricks
Post: What if we miss...
Post: Important Equations
Post: Grumble Tests
Final Summary Notes

MP3s
By request, these are copies of the same lectures presented here, just combined, for easy listening as an MP3 while driving, or doing some other activity where listening is better than watching. Normal: normal speed, exact copies of the lectures. Faster: 1.25x speed, getting a little "chipmunky", but useful for those who like listening faster, and want to listen multiple times. Fastest: 1.25x speed, twice. Defintely "chipmunky" in tone.

(normal) TSG SIE University Chapter 1
(normal) TSG SIE University Chapter 2 Part 1
(normal) TSG SIE University Chapter 2 Part 2
(normal) TSG SIE University Chapter 3
(normal) TSG SIE University Chapter 4
(faster) TSG SIE University Chapter 1
(faster) TSG SIE University Chapter 2 Part 1
(faster) TSG SIE University Chapter 2 Part 2
(faster) TSG SIE University Chapter 3
(faster) TSG SIE University Chapter 4
(fastest) TSG SIE University Chapter 1
(fastest) TSG SIE University Chapter 2 Part 1
(fastest) TSG SIE University Chapter 2 Part 2
(fastest) TSG SIE University Chapter 3
(fastest) TSG SIE University Chapter 4

Series 6

Introduction to the Series 6

S6U Slide Book
Material vs Pschology for the Exam
What is an Einstein Sheet, and why you Need one
Time Management Techniques
Flash Cards, Creating and Using Them

Chapter 1: Investments and Taxes

Chapter 1: Investments and Taxes

Introduction to Chapter 1: Investments and Taxes

Sec. 1.A Investments

Sec. 1.A Investments Lecture
Animation: STRIPS
Animation: Bond Teeter Totter
Picture: Simple Options 2x2
Picture: 10 Words for Options
Picture: Municipal Bonds
Picture: Bond Teeter Totter
Picture: Direct Gov't Debt
Picture: Features of PS and Bonds
Animation: Corporate and Muni Equivalence Explanation
Animation: Corporate and Muni Equivalence Example

Sec. 1.B Taxes I

Sec. 1.B Taxes I Lecture
Picture: FIFO LIFO

Sec. 1.C Taxes II

Sec. 1.C Taxes II Lecture
Animation: Marginal Taxes
Animation: Cost Basis Per Share
Picture: Corp/Muni Equiv Formulas
Picture: Muni Corp Example
Picture: IRS and Taxes
Picture: Marginal Taxes

Chapter 2: All About Open and Closed

Chapter 2: All About Open and Closed

Introduction to Chapter 2: All About Open and Closed

Sec. 2.A Basics of Open/Closed End

Sec. 2.A Basics of Open/Closed End Lecture
Animation: Boat and Warehouse
Picture: Open and Closed End Funds
Picture: Types of Investment Companies
Picture: Diversified Investment Company
Picture: Positions in MF

Sec. 2.B How NAV Changes

Sec. 2.B How NAV Changes Lecture
Animation: Calculating NAV

Sec. 2.C Buying/Selling Mutual Funds

Sec. 2.C Buying/Selling Mutual Funds Lecture
Picture: Share Classes
Picture: Share Classes time/money

Sec. 2.D Additional Legal about Mutual Funds

Sec. 2.D Additional Legal about Mutual Funds Lecture

Chapter 3: Variable Products

Chapter 3: Variable Products

Introduction to Chapter 3: Variable Products

Sec. 3.A Basic Intro to Variable Contracts

Sec. 3.A Basic Intro to Variable Contracts Lecture
Review of Life Insurance

Sec. 3.B More Details about VAs

Sec. 3.B More Details about VAs Lecture
Picture: Assumed Interest Rate

Chapter 4: Sales Practices, Literature, and Offerings

Chapter 4: Sales Practices, Literature, and Offerings

Introduction to Chapter 4: Sales Practices, Literature, and Offerings

Sec. 4.A Sales Practices (Dollar Cost Averaging)

Sec. 4.A Sales Practices (Dollar Cost Averaging) Lecture
Picture: Dollar Cost Averaging Examples

Sec. 4.B Sales Practices Part 2

Sec. 4.B Sales Practices Part 2 Lecture

Sec. 4.C Sales Lit and Offerings

Sec. 4.C Sales Lit and Offerings Lecture

Chapter 5: Dealing with the People

Chapter 5: Dealing with the People

Introduction to Chapter 5: Dealing with the People

Sec. 5.A Supervision of BDs and Reps

Sec. 5.A Supervision of BDs and Reps Lecture
Picture: AML
Picture: Broker Dealers
Picture: OBA and Selling Away

Sec. 5.B Communications

Sec. 5.B Communications Lecture
Picture: Record Retention

Sec. 5.C Customers

Sec. 5.C Customers Lecture

Sec. 5.D Arbitration

Sec. 5.D Arbitration Lecture

Chapter 6: About Accounts

Chapter 6: About Accounts

Introduction to Chapter 6: About Accounts

Sec. 6.A General Accounts

Sec. 6.A General Accounts Lecture

Sec. 6.B Retirement Accounts

Sec. 6.B Retirement Accounts Lecture
Animation: Vesting
Picture: Erisa

Sec. 6.C Specific Retirement Plans

Sec. 6.C Specific Retirement Plans Lecture
Picture: Key Retirement Points

Chapter 7: Strategies, Risks, and Suitability

Chapter 7: Strategies, Risks, and Suitability

Introduction to Chapter 7: Strategies, Risks, and Suitability

Sec. 7.A Investing Strategies

Sec. 7.A Investing Strategies Lecture

Sec. 7.B Risks

Sec. 7.B Risks Lecture
Animation: Risks

Sec. 7.C Suitability

Sec. 7.C Suitability Lecture

Sec. 7.D Rainbow of Suitability

Sec. 7.D Rainbow of Suitability Lecture

Sec. 7.E Suitability Pictures

Sec. 7.E Suitability Pictures Lecture
Animation: Complete Mutual Funds

Chapter 8: The Final Chapter

Chapter 8: The Final Chapter

Introduction to Chapter 8: The Final Chapter

Sec. 8.A Prohibitions

Sec. 8.A Prohibitions Lecture

Sec. 8.B Trading

Sec. 8.B Trading Lecture

Sec. 8.C Junk Drawer

Sec. 8.C Junk Drawer Lecture
Animation: Animated Current Yield
Animation: Hedging
Animation: Leverage
Picture: Dividend and Trade Dates
Picture: Equity Offering Documents
Picture: Interest Rate Prices Yields
Picture: Liquidation Order
Picture: Max Sales Charges

In Conclusion

Grumble Tests, what they are and how to do them
What If.... (let's not even write it)

MP3s

(Normal) Series 6 Complete Audio Part 1
(Normal) Series 6 Complete Audio Part 2

Meet the instructors

Jeff and Brian

Combined over 30 years experience teaching securities exams, and close to 50 years experience teaching in total.
You get both the technical details that Brian helps provide, along with the real world "here is what you do", that Jeff helps provide. Together we can help basically any type of student succeed!

Patrick Jones - Course author

We are an online educational platform that helps agents and aspiring individuals to succeed in their goals. We are not an accredited or degree granting institution, and we have no affiliation with any such institution.