Why Series Exams Are More Than Just Tests

The FINRA-required license exams are about more than passing a test and checking an item off the to-do list. They are essential when building a career in the financial services industry. When prepared for correctly, the tests can teach concepts that advisors can use to succeed each day.

By encouraging your employees to study hard and effectively for the Series Exams, you can create an environment where your advisors can hit the ground running as soon as they receive their licenses.

Passing is important

First and foremost, the Series Exams are required when stepping up the ladder toward the financial advisor license. Without a passing grade, financial advisors (FAs) can’t move forward in their careers. This is because the tests examine the FA’s knowledge of the industry, prove that they are qualified for the job, and ensure that they will provide proficient and ethical services. Clearly, passing is essential.

Therefore, encourage your financial advisors to make passing a priority. As they prepare to take their Series Exams, Securities Training Corporation can help your advisors effectively study for and quickly pass their exams. STC can personalize study sessions and utilize top-of-the-line technology to help them learn the right content to prepare for the tests. In fact, STC’s resources help advisors pass on the first try, allowing them to begin their careers and achieve success quicker.

Series Exams promote regulatory compliance

Regulatory compliance is of the utmost importance in the financial services industry. By being compliant with regulations, financial advisors follow all the state, federal and international laws and operate in the most ethical ways possible, all of which are important when dealing with clients’ financial futures.

The Series Exams promote regulatory compliance by:

  • Teaching FAs the specific laws and regulations in the industry.
  • Explaining the importance of abiding by those laws and regulations.

By prepping FAs in this manner, the Series Exams heighten FAs’ comprehension of regulatory compliance, enabling them to better manage and succeed in their positions.

Series Exams build confidence

There are few things in this world that help you feel more confident in your knowledge, but receiving a passing grade after taking a brutal test is one of them.

Series Exams test FAs’ financial services knowledge and prove they are qualified for the job. By passing the exams, financial advisors demonstrate they have the knowledge they need to properly operate within the financial services industry. This can build great confidence and send FAs into the field with a positive, capable mindset.

Series Exams help advisors fully understand concepts

When taking tests, many decide to take a short cut, memorizing facts and statistics instead of fully understanding concepts. They think: “If I can just pass this test, I’m good to go,” throwing away the information as soon as they walk out of the testing center.

Financial advisors don’t typically do well on the Series Exams with this approach, nor can they succeed in the long term. On the contrary, they need to completely understand the information in order to pass it. By properly studying for the Series Exams (practice tests, tutoring, flashcards, etc.), financial advisors drill the information into their heads, understanding each concept and keeping it at the forefront of their minds for their upcoming days in their career.

STC combines priorities

Securities Training Corporation is here to help your financial advisors get the most out of their Series Exams. They make passing a top priority. In fact, STC has the highest pass rate in the industry, and they have helped over one million financial services professionals pass their exams.

STC helps teach financial services fundamentals and specific rules and regulations that help FAs remain compliant with current laws, giving them the ability to properly help each client they meet.

Additionally, STC gives students the confidence they need for both passing the exams and providing services after the exams. They use personalized methods to help students learn in their own ways and completely understand the information on the test as well as the concepts needed for the industry. After working with STC and passing the exams, financial advisors walk out of the testing center and into the financial services world with the information and confidence they need to be a great financial advisor.

If you want to help your financial advisors not only study for and pass the Series Exams but also have the knowledge and confidence they need, contact Securities Training Corporation today. They are sure to help send your FA into the industry with all the tools they need to succeed.

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