Series 7 podcast · Episode 05
Customer Investment Profiles and Suitability
38 min of listening
Customer Accounts & Suitability. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Essential Facts About Customers and Customer Relationships
- Financial Factors in the Customer Investment Profile
- Investment Objectives
- Suitability Obligations
- Regulation Best Interest (Reg BI)
- Investment Strategies and Recommendations to Hold
- Verification of Investor Accreditation and Sophistication
- Investment Analysis Tools
- Municipal Securities Suitability
Put this episode into practice with adaptive questions and flashcards in the full Series 7 course.