Passing the Security Industry Essentials (SIE) Exam helps people employed in the financial services industry function more independently and make wiser decisions. In effect, they become securities industry “professionals,” rather than just “workers.” Benefits of the SIE Exam for non-licensed employees The SIE…
The Securities Industry Essentials (SIE) exam provides non-licensed securities industry employees with the knowledge needed for effective performance. By passing the SIE exam, employees are better able to understand how their roles in the industry impact customers. In addition, passing the exam builds confidence…
Securities exams are tough. Their purpose is to ensure that financial professionals know their stuff before offering advice to clients. Though they take serious preparation, the knowledge gained in the process makes you a strong financial advisor. Here are 10 dynamite tips on…
Insurance agents limit themselves when they work with just an insurance license, especially if they sell life insurance. Annuities are a life insurance and securities product. To sell annuities, both license types are required. Insurance agents that possess securities licenses open themselves up to…
The private placement market is a viable option for raising relatively small amounts of capital. It tends to be populated by smaller companies that do not wish to have the offering registered with the Securities Exchange Commission (SEC). Private placement issuers are not permitted…
Passing the Security Industry Essentials (SIE) Exam helps people employed in the financial services industry function more independently and make wiser decisions. In effect, they become securities industry “professionals,” rather than just “workers.” Benefits of the SIE Exam for non-licensed employees The SIE…
The Securities Industry Essentials (SIE) exam provides non-licensed securities industry employees with the knowledge needed for effective performance. By passing the SIE exam, employees are better able to understand how their roles in the industry impact customers. In addition, passing the exam builds confidence…
Securities exams are tough. Their purpose is to ensure that financial professionals know their stuff before offering advice to clients. Though they take serious preparation, the knowledge gained in the process makes you a strong financial advisor. Here are 10 dynamite tips on…
Insurance agents limit themselves when they work with just an insurance license, especially if they sell life insurance. Annuities are a life insurance and securities product. To sell annuities, both license types are required. Insurance agents that possess securities licenses open themselves up to…
The private placement market is a viable option for raising relatively small amounts of capital. It tends to be populated by smaller companies that do not wish to have the offering registered with the Securities Exchange Commission (SEC). Private placement issuers are not permitted…
The general public has historically viewed the insurance industry with a certain amount of skepticism. Insurance products can be complicated, and the process for selling often falls short of being consultative. Trends in the industry are helping a new generation of insurance salespeople to…
Crowdfunding, crowdlending and crowd equity. These terms did not exist a decade ago, but now they represent some of the hottest trends in the securities industry. While digital platforms have opened new opportunities and realms for investors, there will always be a need…
Investment advisors have one of the greatest jobs in the world: making money for clients. As clients make money, their advisors build wealth right alongside them. The work provides intellectual challenge and the excitement of building a good reputation and prosperous business. Despite the…
6 Key Steps to Landing a Securities Job By Leveraging the SIE The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The…
Discussing financial needs with clients requires product knowledge and also what doctors would refer to as a good “bedside manner.” It is important for financial advisors to know when to let clients speak and when to offer advice and product knowledge. Developing an approach…
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 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
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 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
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