The strength of the financial services industry is built on its competent, informed professionals. To maintain this standard, FINRA requires continuing education for all registered individuals. This comprises two key parts: the Regulatory Element, focusing on critical rule changes and updates for each registration…
FINRA exams are a challenge that every financial services professional must meet, but they don’t have to be as daunting as they seem. As you prepare to face your securities licensing exams, we can’t say enough about the importance of effective study techniques. Having…
Research analysts play an essential role in the world of banking, brokerage, and finance. They help investors make informed decisions by analyzing data and information to identify trends and patterns, and also offer insights that can guide strategy and asset allocation. In this blog,…
Get FINRA’s Firm Element Course on your LMS! Todd Rosenfeld, Chief Learning Officer at STC, discusses Firm Element. We make Securities Continuing Education (Firm Element) easy. With SCORM-wrapped courseware, you can deploy training on your own LMS.
So, you’re ready to tackle the SIE Exam, pass it, and launch your career in the financial industry? Before you proceed, let’s explore some key points about what passing the exam can mean for you. By understanding these aspects, you’ll be well-prepared for the…
The SIE Exam is a FINRA-administered exam that’s required for any person who’s interested in starting a career in the securities industry. Passing the SIE alone doesn’t qualify a person for registration with a FINRA member firm or qualify them to engage in securities…
In this episode of Todd Talks, our Chief Learning Officer, Todd Rosenfeld talks about the benefits of Private Tutoring and why this may be an option for some students to help them pass their FINRA exam.
Understanding the SIE Exam We enlisted an independent third-party research firm, to conduct the 2019 State of Financial Services Registration and Continuing Education Survey. This survey gathered information from over 100 financial services and securities firms, businesses, and organizations about how they manage and…
In today’s busy world full of technological advancements, it’s becoming increasingly important to ensure that investors are protected from false or misleading claims, exaggerated statements, and material omissions when social media is used as a means of communication. Although the different forms of social…
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
I passed my LAH exam with an 86%. Thanks again for all your help!
- Thomas C., FINANCIAL ADVISOR, Binghampton New York
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 NY State LAH exam today – I got an 81. Thanks for the great training material.
- Nick C., FINANCIAL ADVISOR, New York New York
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