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Securities Licensing

Having a career in the securities industry is beneficial from many standpoints. Adding series exams to your resume enhances your career path. This profession supports a diverse career path whether it working directly with clients, support staff, or marketing relationships. Securities professionals provide financial advice and buy and sell securities including stocks and bonds.

Instructors are in the financial services profession teaching industry-leading securities exam prep. Instruction includes engaging lectures and display effective learning methods.

Financial Industry Regulatory Authority (FINRA) administers the majority of exams that you will are required to take whichever securities path you choose. They mandate securities licensing and requirements. North American Securities Administrators Association (NASAA) is the association of state securities administrators who are charged with the responsibility of protecting consumers who purchase securities or investment advice.

For most candidates, the first step to becoming licensed is to take the Securities Industry Essentials (SIE) exam. This exam can be taken without corporate sponsorship, and is often viewed as a competitive edge if you're trying to get your foot in the door. If you plan to earn a Series 6, Series 7, Series 79, and Series 99, you will have to first pass the Securities Industry Essentials (SIE) exam. Also you will take the top-off exams which require a FINRA member sponsor.

The SIE exam tests entry-level knowledge of basic securities profession concepts. SIE exam candidates must have a basic understanding of markets, securities products and their risks, securities trading, customer accounts, prohibited activities and the regulatory framework.

SECURITIES INDUSTRY ESSENTIALS (SIE) EXAM PREP

Our securities licensing exam prep course provides all the necessary tools to help you prepare, practice, and perform on the exam. To learn more click here.

  • Considered to be the gateway course required by FINRA to becoming a securities professional
  • Courses are open to anyone aged 18 or older
  • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
  • Kickstart your career goals and increase your personal marketability
  • SIE results are valid for four years.

SECURITIES INDUSTRY ESSENTIALS EXAM

The SIE exam evaluates a student’s knowledge of the basics of securities industry. The exam focus is on a range of topics including industry terminology, the structure and market functions, regulatory agencies functions, securities products and regulated practices.

The SIE exam consists of 75 multiple choice questions.

To learn more about the specifics of the exam and FINRA policies click here.

SIE EXAM PREP

Zahn instructors present exam-focused materials aiming to the highly difficult tested areas. The course offering is either OnDemand or webinar. Both offerings by instructors who have years of experience teaching interactive classes. We understand this is the students first step in their career and value the time we share with them preparing for this exam.

Course includes:

Course lectures are taught by instructors that are in the financial services profession teaching industry. Instruction includes engaging lectures and display effective learning methods.

National Underwriter ebook for advanced learning lesson quizzes and exams

Online flashcards are a great way to study! This course provides a wide selection of flashcards for you to study, memorize, test yourself on, and more.

Connect with a Zahn instructor while preparing for the exam. Questions answered within 24 hours or schedule a time to speak with the instructor.

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