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
- 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
- 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.
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
- 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
- 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
- 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.
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
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
Click here to visit the FINRA SIE Exam webpage.
- 75 questions
- Multiple choice format
- Duration: 1 hour and 45 minutes
- Passing Score: 70
- Cost: $80
- Testing site: Prometric Test Centers
For more information about this course, discount information, or help registering
please contact Jennifer Howard via email or 972-721-5299.