How to Understand and Master Securities Laws & Regulations: A Manual for Series 66 Success

By Thomas Anthony Guerriero

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

• Language: English
• Publisher: Trafford Publishing
• Release date: Sep 4, 2012
• ISBN: 9781466954908

Thomas Anthony Guerriero

Thomas Anthony Guerriero has set his mark in the financial world and established himself as a world-renowned expert in economics, finance, and international business. Thomas Guerriero, a Harvard graduate, began his career in 1998, making his way through the corporate world of Wall Street in the financial markets. Thomas Anthony Guerriero quickly escalated ranks and earned the position of senior vice president of the securities of First Union (NYSE: FTU). It was here that Thomas Guerriero contributed greatly, adding value up until the company’s acquisition by Wachovia in the biggest banking acquisition in banking history. Thomas Guerriero’s business development professionalism of over fifteen years has evolved into an experience of building markets and business solutions with a strong financial acumen. He has a proven track record in deal execution and developing lasting relationships with key customers in emerging economies. Throughout Thomas Guerriero’s, has been awarded several degrees, including earning his CFP education from Boston University. He has held professional licenses series 7, series 66, series 63, and series 24. A former professional athlete, Thomas Anthony Guerriero is the owner of five professional sports team, the Springfield Armor in the NBA D League (the Brooklyn Nets affiliate) and, more recently, Oxford City FC, Oxford City Nomads, Oxford City Basketball, and Oxford City Futsal in Oxford, United Kingdom. Always looking for a challenge, Thomas Guerriero has been a diplomatic advisor to two presidents and several diplomats at the United Nations. He has climbed two of the seven summits. Thomas Anthony Guerriero is truly an inspirational leader that will continue to break barriers and achieve higher merits for years to come.

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© Copyright 2012 Thomas Anthony Guerriero.

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the written prior permission of the author.

Printed in the United States of America.

isbn: 978-1-4669-5489-2 (sc)

isbn: 978-1-4669-5490-8 (e)

Trafford rev. 08/28/2012

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Table of Contents

•    State Regulations

•   Federal Laws, Regulations, & Guidelines

•   Investment Vehicle Characteristics

•   Client Recommendations and Strategies

•   Retirement Plans

•   Quantitative Measures of Investment Risks

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