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SIE Exam Preparation Course

Your First Step to a Career in the Securities Industry

The Securities Industry Essentials® (SIE®) Exam Prep Course is designed to give you the knowledge and strategies needed to sit for and pass the Securities Industry Essentials® (SIE®) Examination. Through a partnership with Securities Training Corporation, you will have access to the same information and materials used by Wall Street professionals to prepare for the exam. This course is taught by instructors with years of experience teaching exam prep for industry-required licenses.

Post University’s Malcom Baldrige School of Business is the first business school in the state of Connecticut to offer this SIE exam prep course for college credit. And, through an agreement with the Rhode Island-branch of Equitable Holdings, Inc. the course is structured to help you get a job interview, if you pass the course and the SIE exam itself. The Rhode Island-branch serves Connecticut, Westchester, The Hudson Valley New York, and Rhode Island.

The SIE exam is the prerequisite you must take and pass before sitting for the specific licensing exams and pursuing a financial advising career. It is the only FINRA exam students can sit for that does not require a sponsoring company. Per the Financial Industry Regulatory Authority (FINRA), “Passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.” Qualification exam is any of the series exams associated with the type of business an individual will engage in; such as the Series 6, Series, 7, Series 57, etc. For more information about SIE registration, please visit FINRA Registration.


Why should a student take this course?

Any student looking to enter the financial services industry, or hold a securities related position, will need to first earn a Securities Industry Essentials (SIE) license, which requires the passing of the SIE exam.  This course prepares students to successfully navigate the SIE exam.

Additionally, Financial advisors are required to take and pass specific licensing exams such as the Series 6 or Series 7 to work in the industry. To take these exams, they must be employed and sponsored by a company that works in the industry AND hold the SIE exam.

How will this course benefit the student?

Upon completion of the course, the student will have the necessary knowledge and testing preparation to take the SIE exam. Plus, the student also receives:

  • 3 Credit Hours
    Post University’s Malcolm Baldrige School of Business is one of the first business schools in Connecticut to offer a FINRA prep course for college credit.
  • An Opportunity to Interview with Equitable Holdings, EQH (NYSE)
    Through Post University’s agreement with the Rhode Island-branch of Equitable Holdings students who pass this prep course and the SIE exam will be positioned to interview for a wealth management position and sponsored for the Series 7 exam. The Rhode Island-branch serves Connecticut, Westchester, The Hudson Valley, and Rhode Island.
  • A Competitive Edge
    Once the student passes the SIE exam, they’ll have demonstrated to financial services firms that they have what it takes to hit the ground running in an internship or job opening—as well as a suitable sponsorship candidate for an advanced licensing exam.
  • Valuable Connections
    Students can use this course to connect with like-minded professionals and future industry leaders.

Fortunately, these exams have many common elements. The Financial Industry Regulatory Authority (FINRA) has taken these common elements out to form a baseline entry exam into the industry—the SIE.

Course Costs and Registration

Course Costs

  • $570/credit ($1,710/course) + applicable fees

Course Registration or Learn More

Get in touch with an admissions counselor today!

  • Call: 800.345.2562
  • Email: [email protected]
  • Or Fill out the Request More Information Form


Bottom line: This SIE exam prep course is the perfect opportunity to get the tools you need to successfully prepare for the SIE exam and for a career in the financial industry while getting college credit toward your degree! This course is not restricted to Post University students. College credit may be transferred to other institutions. Check with your institution regarding the transferability of credit. Transfer credits are determined by the receiving institution.

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