Congratulations! Passing the Securities Industry Essentials (SIE) Exam is a major accomplishment.
It’s your official entry point into the world of finance and a solid first step toward building your career. But what happens next?
Earning your certification is only the beginning. Leveraging it effectively can make all the difference in shaping your future.
This practical guide will walk you through your next steps after passing the SIE Exam to help you make the most of your new credential and set yourself up for long-term success in finance.
What is the SIE Exam and how is it valuable to you?
The SIE Exam is more than just a regulatory requirement for certain roles in finance. It’s a powerful credential that validates your foundational knowledge of the securities industry.
It signals to employers that you’re serious about a finance career, familiar with industry ethics, and ready to step into professional training or licensing programs. Now that you have this certification under your belt, here’s how to propel your career forward.
Step 1: Explore career opportunities in finance
The SIE certification opens doors to various entry-level roles. You’re more attractive to potential employers in a variety of entry-level roles.
Now is the time to research the roles and licenses that align with your interests. For example:
- Want to sell mutual funds or variable annuities? You’ll need the Series 6.
- Prefer full-service brokerage? The Series 7 is your goal.
- Interested in compliance? The Series 24 is a key license for supervisory roles. If you’re aiming for a manager position, consider the Series 9 and 10.
Some positions you might consider include:
- Financial Advisor Trainee: Work under experienced advisors while learning to handle portfolios and client relationships.
- Investment Banking Analyst: Start your career in banking by supporting deal structuring, financial analysis, and market research.
- Brokerage Associate: Assist clients with establishing accounts and executing trades while gaining critical industry experience.
- Compliance Assistant: Help firms adhere to regulations and policies, building a strong understanding of the legal and operational framework of finance.
Identify roles that align with your interests, strengths, and long-term career goals. Employers who see the SIE certification on your resume will recognize your dedication and basic competence in the field.
Step 2: Understand what the SIE Exam qualifies you for
It’s important to recognize that passing the SIE Exam does not authorize you to engage in securities business just yet. Think of it as a prerequisite, similar to passing a learner’s permit before a driving test.
Depending on your career path, some licenses require sponsorship by a FINRA-member firm, especially for “top-off” exams. Your next step will depend on your chosen role, such as:
- Series 6 (Investment Company and Variable Contracts): Required to sell mutual funds, variable annuities, and insurance products.
- Series 7 (General Securities Representative): Required for those who plan to work as stockbrokers or in sales.
- Series 63 (Uniform Securities Agent): Often paired with Series 7, this license covers state laws and regulations.
- Series 65 (Investment Advisor Representative): Ideal if you plan to focus on advisory roles and portfolio management. *does not require sponsorship
Check the licensing requirements for your target job and employer and map out your plan to achieve them. Each exam has different requirements and levels of difficulty.
Give yourself adequate study time. The SIE is a great foundation, but these top-off exams are more specific and rigorous.
Step 3: Tailor your resume and online presence
Focus your resume on your finance-specific skills and experience, now proudly including “SIE Certified” in your qualifications.
- Highlight relevant skills: Include strong analytical skills, proficiency in financial software, and knowledge of financial regulations.
- Showcase work ethic: If you don’t have direct finance experience, demonstrate transferable skills through internships, volunteer experience, or unrelated work (such as customer service or research projects).
- Optimize your LinkedIn profile: Add your SIE certification to your LinkedIn profile and make it clear you’re open to finance roles. Many employers use this as a screener, so listing it prominently can give you a competitive edge. Post industry-related content or engage with posts from thought leaders to show your interest in the field.
- Emphasize your certification: Call attention to the date you passed and any related coursework or other certifications.
Step 4: Gain practical experience
If you haven’t gained hands-on financial experience yet, now is the time. Here are some options for you:
- Apply for entry-level positions: Look for positions at broker-dealers, investment firms, or banks that offer sponsorship for the next level of exams. Some may even provide paid training programs to help you prepare.
- Search for internships: Many financial firms offer entry-level internships that double as training programs for new hires.
- Temporary work in finance firms: Short-term projects or part-time work can get your foot in the door and allow you to prove your value to potential employers.
- Volunteer at professional organizations: Offer your skills to non-profit finance organizations or affinity groups to expand your knowledge and network.
Practical experience will give you the confidence and context needed to succeed in more formal financial roles.
Step 5: Network with industry professionals
The finance industry thrives on connections. Start building relationships with professionals who can offer advice, mentorship, and opportunities.
- Join finance groups: Leveraging platforms like LinkedIn or joining associations like the Financial Planning Association (FPA) can connect you to like-minded professionals.
- Look for LinkedIn connections and groups (try: “Finance Career Launchpad” or “Future Financial Advisors”).
- Search out local CFA, CFP, or FINRA meetups.
- Don’t forget about university alumni networks or other finance clubs.
- Attend conferences and seminars: Many finance organizations host events where you can gain insights and meet potential mentors or employers.
- Informational interviews: Reach out to professionals in roles you admire and request a quick 15-minute call to discuss their career path.
A strong network can turn into valuable job leads, references, and career growth opportunities. Plus, engaging with people in the industry gives you insider knowledge and may open doors to internships or job referrals.
Step 6: Stay updated with industry trends
The finance industry is constantly evolving, and staying ahead starts with being informed. It’s imperative that you continue learning and growing.
- Subscribe to trusted finance publications like The Wall Street Journal, Bloomberg, or Financial Times.
- Sign up for industry webinars, podcasts, and newsletters.
- Follow trends in wealth management, fintech, and regulatory updates.
- Consider enrolling in additional coursework to deepen your knowledge of emerging fields like fintech, cryptocurrency, or ESG investing.
- Practice mock scenarios or case studies to build client interaction and investment recommendation skills.
Maintaining your edge is key to remaining competitive in this fast-paced industry.
Make the most of that SIE certification momentum
Passing the SIE Exam shows initiative, discipline, and a real interest in finance. It marks the beginning of an exciting new chapter in your finance career.
Employers take notice of candidates who come prepared. Use this achievement as your launchpad, not your finish line.
By taking the steps outlined above, you can capitalize on your hard work and move confidently toward your professional goals. Start putting these tips into practice now to set yourself apart from the competition.
Whether it’s securing your next license, landing your first dream job, or building a professional network, the path begins with consistent, focused effort.
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