How to Leverage the SIE Exam in Your Business 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 SIE Exam is…
If you’re thinking of a career in financial services, you have reason to be optimistic. It’s not a difficult field to break into, and it has many points of entry. It’s also a field you can enter with a basic general education, then educate…
The financial services industry is awash in paperwork. Well-run firms rely heavily on their office and administrative support to keep track of transactions, new accounts, customer requests and the day-to-day operations. Although not always necessary, some support staff do need to be licensed. Starting Oct.…
Recruiting and retaining world-class investment advisors gives your firm a competitive edge. Every business in the financial services industry, including Big Four wirehouses and boutique startups, must be agile enough to recruit quickly in a tight labor market. As the U.S. economy remains shorthanded,…
Preparing employees for licensing exams is a common pain point among financial services companies. Whether or not you’re hiring new staff or updating certifications for tenured advisors, every organization will need to develop training programs to prep workers for a new, more challenging test:…
How to Leverage the SIE Exam in Your Business 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 SIE Exam is…
If you’re thinking of a career in financial services, you have reason to be optimistic. It’s not a difficult field to break into, and it has many points of entry. It’s also a field you can enter with a basic general education, then educate…
The financial services industry is awash in paperwork. Well-run firms rely heavily on their office and administrative support to keep track of transactions, new accounts, customer requests and the day-to-day operations. Although not always necessary, some support staff do need to be licensed. Starting Oct.…
Recruiting and retaining world-class investment advisors gives your firm a competitive edge. Every business in the financial services industry, including Big Four wirehouses and boutique startups, must be agile enough to recruit quickly in a tight labor market. As the U.S. economy remains shorthanded,…
Preparing employees for licensing exams is a common pain point among financial services companies. Whether or not you’re hiring new staff or updating certifications for tenured advisors, every organization will need to develop training programs to prep workers for a new, more challenging test:…
The brokerage recruiting industry has undergone some dramatic upheavals in the past year that will undoubtedly affect the landscape for years to come. These upheavals, according to Diamond Consulting, are all based on one factor: control. Advisors are constantly trying to be in control…
Learn About Our College Course and SIE (Webinar) If you missed our webinar highlighting Securities Training Corporation’s new SIE and College Course Program. You can still view the Webinar to see all of the benefits of our College Course and SIE Program. Some…
How Partnering With STC Will Help Your Students (Webinar) The Securities Industries Essential (SIE) exam coming in October will give easier access to those interested in a financial services career. Some of the Things You Will Learn About: Easy to integrate STC’s College…
The most important impending change is that FINRA will be allowing individuals who are not associated with financial firms to take the SIE (Securities Industry Essentials) Exam. Unlike traditional securities exams that require an individual to be an employee of a sponsoring firm, the SIE…
When first coming on board working for a financial firm there’s an onboarding process during which associate is provided mandatory information regarding his job responsibilities. Due to this process, the employee is clear as to his role, but may be somewhat uncertain as to the functions…
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
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 passed my LAH exam with an 86%. Thanks again for all your help!
- Thomas C., FINANCIAL ADVISOR, Binghampton New York
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! 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
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