Choosing the right profession requires careful thought about your personal goals, income expectations, and desire for meaningful work. A financial advisor career in the securities field offers a unique combination of all three. As individuals and families navigate increasingly complex economic landscapes, they need…
Passing the Securities Industry Essentials (SIE) Exam can be challenging, but it’s certainly less so with the right approach to study and preparation. Passing the SIE Exam is your first step to becoming a securities industry professional, so you need to know what’s on…
Choosing the right Securities Industry Essentials (SIE) prep course is the most critical decision you’ll make on your path to a financial services career. With so many options available, it can be tough to know which provider aligns with your learning style, budget, and…
Graduating from college marks the beginning of your professional life. Entering the finance industry requires a polished resume, a strong work ethic, and a solid understanding of market fundamentals. Your official entry point into the world of securities is the Securities Industry Essentials (SIE) Exam. Administered…
On November 30, 2020, NASAA (North American Securities Administrators Association) adopted the Investment Advisor Representative (IAR) CE Model Rule. The CE Model Rule impacts those in the financial industry, as a certain number of education credits are required annually. Read on for a general overview of the rule,…
The Securities Industry Essentials (SIE) Exam is the first major step toward licensure for aspiring securities professionals. Offered by the Financial Industry Regulatory Authority (FINRA), this test assesses your foundational understanding of the financial industry before you affiliate with a member firm. You may…
Todd Rosenfeld, Chief Learning Officer at STC, discusses the key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American…
The financial services industry relies on knowledgeable, compliant professionals. To support this standard, FINRA requires continuing education for all registered individuals. FINRA’s CE program consists of two components: the Regulatory Element, which focuses on rule changes and regulatory updates, and the Firm Element, which…
Preparing for a FINRA exam is an important step toward earning your securities license and building a career in financial services. While FINRA exams have a reputation for being challenging, the right preparation strategy can make the process far more manageable. With a structured study plan…
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
I passed the series 24 yesterday. I started off using Kaplan, took the test, and failed. Then I switched to STC. I wish I would have used STC from the beginning and following the program from the beginning. What I’ve learned is the FiNRA test is like learning a different language. You need to be able to identify what the question is asking and what FiNRA is looking for. The STC test bank prepares you for that. I felt the actual test was not as difficult as the practice and green light exams. The series 24 material is extremely dry and Michael Simon has a very practical, yet dynamic approach in the way he teaches the material in the virtual class. STC is also extremely responsive and available for questions. It helped to speak with someone live and get a brief explanation to help grasp the material. There was a rhythm to it.
- Bill W., FINANCIAL ADVISER, St. Louis Missouri
I took the Series 24 yesterday and passed with flying colors. I felt very confident as I was going through the exam. Thank you for the great review course and tips.
- John C., FINANCIAL ADVISER, Charlottesville North Carolina
I passed my LAH exam with an 86%. Thanks again for all your help!
- Thomas C., FINANCIAL ADVISOR, Binghampton New York
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