From SIE to Series 7: Starting Your Finance Career
- April 1, 2025
- Posted by: 'FINRA Exam Mastery'
- Category: Finance
From SIE to Series 7: Starting Your Finance Career
Published on https://finra-exam-mastery.com
🎓 Step 1: Pass the SIE Exam – Your Entry Ticket
The Securities Industry Essentials (SIE) Exam is the first step for anyone looking to enter the securities industry.
- No sponsorship required
- Tests basic knowledge of products, risks, regulatory bodies, and prohibited practices
- Cost: $80
- Duration: 75 questions in 105 minutes
Passing the SIE signals your commitment and makes your resume stand out to employers.
💼 Step 2: Get Hired or Sponsored by a FINRA Member Firm
To take the Series 7 exam, you must be sponsored by a FINRA-member firm. Once hired, your firm will file Form U4 to register you for the exam.
🧠 Step 3: Prepare for the Series 7 Exam
The Series 7 (General Securities Representative Exam) qualifies you to:
- Sell stocks, bonds, options, mutual funds, ETFs, and more
- Work as a registered representative
- Handle a wide variety of client investment needs
Exam details:
- 125 scored questions + 10 unscored
- 225 minutes (3 hours, 45 minutes)
- Passing score: 72%
- Fee: $300
Focus areas:
- Investment risks and suitability
- Trading procedures and regulatory compliance
- Client account types and retirement plans
🔄 Step 4: Add the Series 63 or 66 License (State Law Requirement)
Most states require either:
- Series 63: Uniform Securities Agent State Law Exam
- Series 66: Combines Series 63 and 65, requires Series 7
These exams focus on state securities regulation, ethics, and fiduciary standards, enabling you to serve clients in multiple states.
🚀 Step 5: Launch Your Career in Finance
With the SIE, Series 7, and state law exams complete, you’re fully licensed to:
- Work at broker-dealers and investment firms
- Serve retail or institutional clients
- Build a career in sales, trading, wealth management, or advisory services
📚 Start Smart with Finra Exam Mastery
Our digital prep platform helps you go from zero to licensed with:
- 🎥 Video courses for SIE, Series 7, 63, 66
- 🧪 Full-length practice exams
- 📄 Printable study guides
- 🕒 Lifetime access and progress tracking
👉 Start your journey today at https://finra-exam-mastery.com
From first-time candidate to fully registered rep—your finance career starts here.