New York financial professional, Toby Mitchell, is Vice President/Investments with the CR Wealth Management Group of Stifel. An experienced financial advisor, Toby Mitchell holds professional certifications that include the Series 66 security license, which allows him to offer a wealth of knowledge and strategic insight to investors.
Also known as the North American Securities Administrators Association (NASAA) Uniform Combined State Law Examination, the Series 66 exam certifies financial professionals as both securities agents and investment advisory representatives. Financial professionals holding the Series 66 security license have demonstrated knowledge equivalent to that required for Series 63 and Series 65 security licensure. Individuals granted Series 66 certification must pair it with a Series 7 license (which Toby Mitchell also holds) to register as investment advisors.
Updated in May 2016, the 100-question, 150-minute Series 66 exam covers a variety of topics related to investment advisory while omitting many of the product and strategy topics covered by Series 7. Approximately half of the exam tests individuals’ knowledge of laws and regulations governing securities at both the state and federal level, including those addressing business ethics and fiduciary duties. A number of questions address the differing types of investors, factors that may influence their financial goals, and varying portfolio management strategies.
Having passed the Series 66 exam, Toby has acquired knowledge of unique financial advisory needs, such as retirement planning. He is also well-versed in the vast array of investment vehicles, as well as in strategies for assessing risk, financial disclosure, and portfolio performance.
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