Landmark Financial is pleased to announce Breck Hopkins, Client Relations Coordinator, has passed the Securities Industries Essentials Exam, the Series 7 exam, and the Series 66 exam.
The Securities Industry Essentials (SIE) exam assesses a candidate's basic knowledge of the securities industry. The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices. The Series 7 exam licenses the holder to sell all types of securities products except commodities and futures. This exam focuses on investment risk, taxation, equity, and debt instruments; packaged securities, options, retirement plans, and interactions with clients for prospective securities industry professionals. Series 66 is an exam and license that qualifies individuals as investment advisor representatives or securities agents and covers topics relevant to providing investment advice and effecting securities transactions for clients.
Breck graduated from the University of Arkansas as a finance major with a concentration in financial management and investments. He joined the Landmark team in 2020. Learn more about him here.