Manager On-Demand Webinar Series
Discover how managers at small firms are streamlining compliance, saving time, and cutting costs. Watch three quick, 20-minute sessions built to make compliance simpler and more efficient.
Choosing the Right Securities Exam Prep Provider
Feeling the pressure of an upcoming securities license exam? You’re not alone. Finding the right securities exam prep provider is a game-changer, not just for your confidence but for your career. With so many options on the market, knowing which one to trust can…
How Hard is the SIE?
For aspiring securities professionals, the Securities Industry Essentials (SIE) Exam is the first step toward licensure. Offered by the Financial Industry Regulatory Authority (FINRA), the SIE is designed to assess your foundational understanding of the industry before you affiliate with a member firm. But…
Series 6 and Series 63: How Both Licenses Work Together
If you are looking to build a career in financial services, you are likely familiar with the Series 6 and Series 63 exams. Both are common entry points for professionals who want to sell securities, but they cover very different areas. Many firms require…
Your First Steps After Passing the SIE Exam: What to Do Next
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…
Securities Exam Prep Tools to Help You Pass the First Time
Studying for a securities exam can feel tough, yet the right materials can set you up for success. Whether you’re starting your journey with an entry-level FINRA exam or aiming for advanced registration, having proven tools in your corner is essential. With a 95%…
How to Cross-Sell Securities and Insurance
👉 XCEL Insurance Training Solutions 👉 STC Securities Training Solutions In today’s competitive financial landscape, success often hinges on more than just a strong foundation in investments or market knowledge. Clients are looking for comprehensive financial advice, and they often expect their advisors to…
Your Guide to Passing the SIE Exam
The Securities Industry Essentials (SIE) exam is absolutely necessary for any individual who’s interested in joining the securities industry. However, be aware, the exam isn’t easy and many people fail it. There are a number of reasons why people fail the SIE Exam, but…
Understanding the IAR CE Model Rule in 2025
As is the case with many new regulations, the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) created by the North American Securities Administrators Association (NASAA) is generating a number of questions. The following information addresses the most frequently asked questions regarding…