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Securities Industry Essentials (SIE) Exam Preparation

Launch Your Career in Finance with SIE Certification

This OnDemand course is offered in partnership with Zahn Associates, Inc. and allows individuals looking to start their careers in the securities industry. The Securities Industry Essentials® (SIE®) certification is required by the Financial Industry Regulatory Industry (FINRA) as a prerequisite to earning other securities series licenses. Earners of the SIE Certification will standout among their peers and show their commitment to building a career in the finance and securities industry. 

To continue learning about the SIE and the securities industry, please click on topics below.

Click here to register. 

Why our program?

  • OnDemand format allows you to start at any time.
  • Our instructors are in the financial services profession teaching industry-leading securities exam prep. Instruction includes engaging lectures and employs effective learning methods.
  • Professional and high quality course materials designed to help you pass the SIE exam on the first try. See 'About the program' for more details.
  • 180-day access to high quality and professional materials designed to help you pass the SIE exam on your first try.

About the program

This program was created by Zahn Associates, Inc., a company well-known for helping thousands of people advance their careers by passing the CFP® Certification Examination. The Zahn SIE program offers the following: 

  • Zahn instructors present exam-focused materials highlighting the difficulty test areas and concepts.
  • All instructors have years of experience teaching interactive classes.
  • 15-hours of recorded lectures; 50-hours prep time
  • Textbook: well-written hard copy to allow for highlighting and note taking.
    • Practice questions throughout the textbook chapters.
  • Student Center: A learning management platform with organized study resources and access to testing tools.
  • On-The-Go Study Materials: flashcards, glossary, and acronyms available for study on the mobile app. This library of additional resources will enhance the overall learning experience with ease.
  • Ask Instructor: Connect with a Zahn instructor while preparing for the exam. Material related questions posted on a bulletin board will be answered within 24 hours.
  • Practice Questions: Practice question bank available with exam analyzer. Unlimited use.
  • 180-day access to program

What does a securities professional do? 

Securities professionals provide financial advice in addition to buying and selling securities including stocks and bonds. This profession offers a wide range of jobs and opportunities for career growth such as working directly with clients, as a relationship marketer, or in a support staff role. 

About FINRA

Financial Industry Regulatory Authority (FINRA) administers the majority of exams that you will are required to take whichever securities path you choose. They mandate securities licensing and requirements. North American Securities Administrators Association (NASAA) is the association of state securities administrators who are charged with the responsibility of protecting consumers who purchase securities or investment advice.

Who can take the SIE exam? 

SIE Certification is the required first step for anyone pursuing a career in the securities industry and is a prerequisite for earning a Series 6, Series 7, Series 79 or Series 99 license*. Once you pass the SIE, it is valid for 4 years.

  • Anyone age 18 or older can take the SIE exam.
  • Firm sponsorship or association is not a requirement for the SIE exam.
  • Individuals can take the SIE exam before or after associating with a firm. 

*Please note: The Series 6, Series 7, Series 79 and Series 99 licenses require firm sponsorship. 

About the Securities Industry Essentials Exam

The Securities Industry Essentials Exam is governed by FINRA. The exam is for prospective securities industry professionals and assesses a candidate's understanding of basic securities industry information such as fundamental concepts for working within the industry (i.e., types of products and their risks), regulatory agencies and their functions, best practices, prohibited practices, and the structure of the securities market.

Click here to visit the FINRA SIE Exam webpage.

Exam Snapshot:

  • 75 questions
  • Multiple choice format
  • Duration: 1 hour and 45 minutes
  • Passing Score: 70
  • Cost: $80
  • Testing site: Prometric Test Centers

Contact UD 

For more information about this course, discount information, or help registering please contact Jennifer Howard via email or 972-721-5299.

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.

 

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