Securities
We have helped over 1 million securities professionals pass FINRA qualifying exams with a broad range of study materials and support services developed over nearly five decades.
Testimonials
I passed my LAH exam with an 86%. Thanks again for all your help!
- Thomas C., FINANCIAL ADVISOR, Binghampton New York
I passed! Thank you so much, Elizabeth! I have long way to go…After series 7 I have to get 24, 65. Because of your excellent service and customer care, I want to stay with STC. Have a great day!!
- Ben B., FINANCIAL ADVISER, New York New York
Bruce Walck was an excellent instructor!!! He was clear, engaging, and used the time efficiently to cover all the pertinent material over the 2 days of class. I would recommend Bruce as an instructor for any STC class.
- Nick S., FINANCIAL ADVISER, Portland Oregon
I just wanted to share my feedback on the Series 7 class that I took in NYC 8/1-8/4, with David Morris as the instructor. I found the class to be instrumental in my preparation for the exam. The content encompassed all the salient points that were important for the test, and David is a great instructor. He is very knowledgeable, engaging, breaks concepts down for easier understanding, and has great rapport with his students. I’m very happy to say that I passed the Series 7 test today, and I credit STC and David’s instruction in ensuring that I had the necessary knowledge necessary for the test.
- John H., FINANCIAL ADVISER, St. Louis Missouri
Good Afternoon Dave, I took your class this week and let me again say thank you. It was very clear to me how much you love your job and that you truly care about all of us passing, which I’m not sure I can say about some of the other testing companies I’ve previously used. Again, thank you for your hard work this week and I look forward to speaking to you soon to tell you I passed. I promise you will be third on my list of people to tell when I pass, just behind my girlfriend and dad, I’ll even do it before my manager!
- Evan R., FINANCIAL ADVISER, Chicago Illinois
Recent News
FINRA Updates Examination Priorities for 2018
FINRA updates examination priorities for 2018 Once the Financial Industry Regulatory Authority (FINRA) updates examination priorities, you have to address changes proactively before you incur costly penalties. FINRA’s 2017 Examination Findings Report reveal new concerns, such as cybersecurity and cryptocurrency. Subsequently, FINRA published its…
The Collapse of the Protocol for Broker Recruiting and Its Effects on Salary
The original intent of the Protocol for Broker Recruiting (the Protocol) was to limit the scope of litigation if you recruit financial advisers from a competitor. Today, according to the departing Big Four wirehouses, the Protocol is obsolete and ineffective, straying beyond its real…
7 Reasons Why You Need to Ace the SIE Examination
If you’re starting a career in financial services, acing the Securities Industry Essentials exam is step one. The Financial Industry Regulatory Authority (FINRA), amid concerns about redundant content, has consolidated all introductory-level questions to form the SIE. Required after October 2018, the SIE will…