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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 AXA Equitable Holdings 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?

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.

 

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.

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 AXA

Through Post University’s agreement with the Rhode Island-branch of AXA 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 Registration

To register for this course, download the SIE Exam Preparation Course SIE-Prep-Form and then send completed form and payment method via email or mail to Philip Dawson, Director – Undergraduate Programs.

Email: pdawson@post.edu

or

Mail to: Post University
Attention: Philip Dawson
800 Country Club Road
Waterbury, CT 06723-2540

 

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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