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Securities Industry Essentials (SIE) Exam Preparation

Launch Your Career in Finance with SIE Certification

UD in partnership with Solomon Exam Prep, now offers
SIE exam prep help.

In 2018 the Financial Industry Regulatory Authority (FINRA) launched the Securities Industry Essentials (SIE) exam, the first entry-level securities licensing exam for anyone who wants to work in the securities industry. SIE is the new co-requisite for the following representative-level FINRA and MSRB licensing exams: Series 6, 7, 22, 50, 52, 57, 79, 82, and 99.

Prior to the SIE, it was hard for people to break into the securities industry. It wasn’t possible to take a securities licensing exam unless you had a job with a broker-dealer. Now, you don’t have to be hired to be qualified: the doors to the security industry are wide open! Whether you are just starting out or launching a new career, the SIE certification shows you are serious about your future. 


The SIE exam will be open to everyone age 18 or older. The SIE offers career opportunities for business, finance, and economics majors, as well as anyone interested in financial technology. Once you pass the SIE, it is valid for 4 years.

Upcoming Classes

Spring 2020 SIE Certification Exam Prep Class
Date: March 5 - May 7, 2020 (Thursday evenings)
Time: 6:00 - 9:00 p.m.
Location: University of Dallas - 1845 E. Northgate Drive, Irving, TX 75062
Tuition: $549 (plus $99.95 for materials)

Registration Deadline: February 25, 2020

Click here to register. 

Meet Your Instructor

Brandon Truitt, MS, CFP®, MPAS®, CRPC®

Brandon worked at Fidelity Investments for 14 years in a variety of leadership roles focusing on workplace benefits and financial plan delivery. During his tenure there he helped launch their executive compensation group, workplace guidance department, and was in charge of operational execution for over 300 financial planning professionals. These teams address a myriad of investment issues specializing in employee benefits like DC plans, DB plans, investing products, accounts, and services. In addition to the CFP® designation, Brandon also holds the MPAS® and CRPC® designations.
Brandon currently teaches in Dallas, but grew up in Austin, Texas. He attended McNeil High School as was recognized as a National Merit Scholar, National AP Scholar, and graduated top ten in his class. He earned his undergraduate degree studying English and Philosophy from Texas A&M University. There, he was recognized as a University Scholar and Lechner Scholar by the honor's department. Brandon also holds a Master's of Science in Personal Financial Planning and is currently working towards his FP&A™ designation specializing in corporate financial planning.
In his spare time Brandon is a member of the Dallas Fort Worth FPA® chapter and likes to read, write, play tennis, and work on home improvement projects. He currently teaches live review classes and offers tutoring.

In his spare time Brandon is a member of the Dallas Fort Worth FPA® chapter and likes to read, write, play tennis, and work on home improvement projects. He currently teaches Zahn Live Review classes and offers tutoring.

Discounts Available

Discounts are available for UD Alumni/US Veterans/Educators/Government Employees/Current UD Students (in good standing) 
If eligible, contact Kathy Whitgrove via email or 972-721-5298.

Why Get the SIE Certification?

  • More marketability in finance/securities industry.
  • Jumpstart your career by showing basic industry knowledge to potential employers.
  • Career changers, this will show you are serious about your new career path.
  • Having SIE allows you to enter your new position a step ahead and ready to prepare to take your series test.
      • SIE is co-requisite for the following representative-level FINRA and MSRB licensing exams: Series 6, 7, 22, 50, 52, 57, 79, 82, and 99.

Exam Topics

  • Equity Securities
  • Debt Securities
  • Investment Companies, Life Insurance Products, and Other Packaged Securities
  • Options and Alternative Investments
  • Risk, Disclosures, and Taxation
  • Issuing Securities: The Primary Market
  • The Securities Markets
  • Customer Accounts
  • Prohibited Activities and Conduct Rules
  • Regulatory Responsibilities

About the Exam

  • Taken at Prometric testing center
  • Number of Questions: 75
  • Format: Multiple Choice
  • Duration: 1 hour and 45 minutes
  • Passing Score: 70
  • Cost: $60

Click here to visit the FINRA SIE landing page.

Course Materials

You will need to purchase the most current edition of the SIE Essentials Study Package from Soloman Prep.  Once registered you will receive information on how to purchase at a reduced, University of Dallas price, $99.95.

The Solomon SIE Study Package includes 180-day access to:

About Solomon Prep

Solomon Exam Prep, the content and curriculum partner, has helped thousands of individuals pass their Series 3, 6, 62, 63, 65, 66, 7, 24, 26, 27, 28, 50, 51, 52, 53, 79, 82 and 99.

Call Solomon Exam Prep 503-601-0212 or visit to preview our study materials and try an SIE practice quiz.

Contact UD 

For more information about this course, discount information, or help registering please contact Kathy Whitgrove via email or 972-721-5298.

Join our SIE Email List

Not ready now? Join our Securities Industries Essentials email list to be notified about SIE course details and upcoming offerings.

For more information on the program please contact Kathy Whitgrove via email or 972-721-5298.


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