Financial Certification Lessons

At some point in time you may find that in order to sell securities, which may or may not, be tied to real estate, that you need to get 1 or more financial certification such as the SIE Exam or Series 7.

Almost all Financial Certification Lessons start out with the SIE Exam and then others follow.

Securities Industry Essentials Exam (SIE) is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, the Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

Association with a firm is not required for the SIE, and individuals are permitted to take the exam before or after associating with a firm.

The SIE exam results are valid for four years.