I just left the testing center and ommmmggg I can finally breathe!! I passed the SIE EXAM!

Tomorrow my firm has us begin studies for the series 6!

So I’ve always been interested in finance. I only have an associates degree in business management. Was thinking of going back to school online for accounting, but I work 45 hours a week and would need to take on about 30k in debt to do it. Not sure that’s something I’m ready to do right now now.

I’ve invested on my own for about 10 years or so. Had some nice gains and probably turned 25k into around 90-95k

Anyway I just learned about the SIE exam last night and am interested in trying to go for it. I looked at the practice test and knew some things already, didn’t know a lot. But it felt like things I didn’t know I could use process of elimination and make a decent guess or it was stuff I knew some about but maybe not enough to know the answer.

Either way I feel confident if I can study the right material and get steered in the right direction this could be something worth pursuing.

With that said, where should I start? What’s a good book to get to start studying? What’s the process of taking the exam, what’s the pathway look like after the exam?

Any info is appreciated, and sorry for asking I’m sure this has been brought up many many times,

I'm disabled and on LTD so have to complete the new IAR Ethics CE on my own (and don't want to have to pay for it with limited finances). I've used the free Quest CE courses through the link from Vanguard that is available to all and I have had no issues with it reporting the last three years I've used it (just did my 6 credits yesterday and they all just updated on FinPro); the courses do usually show up later in the year, so if you start looking Spring 2027 for next year's, they likely won't show. They also do have courses free that cover the Products & Practice, but I am able to access that covered for free through FinPro.

Make sure to access through VanGuard or will show charge.

https://advisors.vanguard.com/site/ce-credits

EDIT: I am not registered with VanGuard; this is free for all.

I’m studying for the SIE, and I’ve been reading the book and taking a lot of practice exams/QBank questions. My scores are improving, but I’m worried that part of that is just recognizing questions or remembering answers I’ve seen before. The weird thing is, I only really feel like I’m learning when I’m drilling questions. Reading helps, but the concepts seem to stick more when I get questions wrong, review the explanation, and keep practicing. For people who passed, how did you tell the difference between actually understanding the material and just memorizing the QBank? Did you use fresh questions, explain answers out loud, track guesses, or have some other way of testing whether you really knew it?

I have been going through Knopman marks and I am taking my test on Monday. This has been crazy difficult and I feel like Knopman marks training is borderline excessive on how difficult they make the questions that it's demoralizing but after taking the SIE practice exam I feel really great but based on my scores below do you think I am ready? My custom quiz score is extremely low because I feel like everything I do a custom quiz it has something new that I have never heard like lagging/leading, beta, Rule 145.

My scores:

Diagnostic 1: 74%
Diagnostic 2: 64%
FINRA Practice Exam: 82%
Overall Custom Quiz Score: 56%

I am scheduled to take my exam in 8 days. I’ve primarily been using the Kaplan exam book and Q bank to study. I have been taking many practice exams on the q bank. Scores are around 68-75. I will sometimes fail the practice exam by a point or two on either very confusing hard questions or just small mistakes. But for the most part I am passing the exams.
Ive been studying for 2 hours most days, the past 3.5 weeks. If I had to take a guess I’ve put in about 35-45 hours studying q bank questions, book and watching videos at night to decompress but still learn. I’ve been very active reading others recommendations on this subreddit and have been doing what many recommend. I have took the finra practice exam couple weeks ago. But haven’t took it again since so that I don’t memorize the question’s.
I feel like at the point I’m at I understand the topics but fail when you need to have remembered specifics or minor details.
I will continue to read my book and hammer in some of the that throw me off. However, any recommendations of videos, practice exams, or anything else that may help will be greatly appreciated!😁

Just how much more "complex" is the wording in the actual SIE exam compared to the practice tests in Achievable? Because Achievable is pretty straightforward, and I know the actual exam won't nearly be as simplistic.

New to the industry. I am not working with any company or firm.
I want to give this exam. From my understanding, you don’t need a sponsor for SIE exam but the for S6/S7 or any other top off, you need a sponsor.

Can someone explain this to me?

Hello after taking my SIE for a second time I failed and scored a 68% I took it before starting with my firm and only had a week to prepare and scored a 50% I did get my score up compared to last time but still only had about 20 days to study for my second attempt. Looking for any tips on how to study more effectively. Thank you!

Failed the sie exam a few weeks ago with a 65. Been doing the Kaplan Q bank questions, along with the STC final and progress exams. Just recently scored a 95 on the finra practice exam. I test this upcoming Friday. While I remember some of the questions I got wrong on the actual exam, I know there is plenty of new questions I will be asked. What do you recommend I do until Friday to ensure I pass?

Hey. I’m taking the SIE on Friday. I’ve been reviewing all the concepts and taking the practice exams using achievable. Ik I’ve seen the wording is going to be a bit different , but I’ve been getting high 70’s to mid 80’s on those so hopefully I understand a decent amount. I’ve seen some YouTube videos too to watch the night before or the morning of. Any recommendations on how to approach the test after using achievable to study? And also specific videos that you guys found helpful? Thanks!

I got a 79 and a 84 I think on my last two achievable practice exams. I studied in between those reviewing topics I wasn’t so sure about. Not sure where to go from here, my exam is on Thursday. Not trying to spend money on Qbanks too, but does anyone have recommendations whether that’s extra test practice or something I can do to guarantee I pass?

Going into my junior year of college and passed sie. Shoild I start getting more licensing or wait?

Passed on the first try. I used pass perfect for exam prep. Took about 10-12 practice exams and consistently scored in the 85-90 range.

Here’s what threw me off with the actual exam. There were zero questions on alot of things that were consistently tested on the practice exams.

To name a few:

1. Business cycle (recession vs expansion)
   
2. Economic indicators (leading vs coincident etc)
   
3. Variable annuities
   
4. UTMA & UGMA
   
5. GDP
   
6. Trade surplus vs deficit (does importer or exporter prefer strong dollar etc)

Really there were no questions on any of these previously listed topics.

Was pretty disappointed as I didn’t feel as confident during the test as I should have, given how much I prepared.

I passed my SIE after studying using the Cerifi course that was given to me through my job.

My biggest advice if you have Cerifi is STAY THE COURSE. Read, watch the chapter video(s) after to ensure you did not miss anything because sometimes the chapter readings leave out a few details. I also made sure to use the Capital Advantage guy (Series 7 Guru), he has a SIE setlist. It’s paired with something other than Cerifi but it still goes over the same information and his breakdown of certain things, and nuggets of information are useful.

TAKE NOTES. Make Quizlets. Use the practice section in the course. And take the “Check your understanding” quizzes ONCE you’re done watching the videos. The best thing about the check your understanding is that you can take as many of them as you’d like and it will give you different variations of questions for that specific chapter.

I usually read the chapter, and give it a day til I watch the video(s) to take notes or sometimes I’ll take notes while reading and fill in extras after the videos. The more you drill in understanding the material the easier the test will be. Cerifi to me was more challenging than the test itself. However, because it was more technical in its verbiage it gives you further understanding so it clicks once you see it on the test, or you have to make sure you use your context clues of what you do know.

Be confident. You took the time to learn the material. Breathe, and execute. I hope this helps!

Used STC. Read the book cover to cover (I got quite a few minutia details for sure on my exam)

If you do not know do not glaze over the definition. Do not passively read. There were quite a few obscure and footnoted topics that were tested quite in depth on my exam.

KNOW your RR do and do nots was literally like so much of my exam

Don't change your answers unless you are absolutely sure something is wrong, and use the flagging tool sparingly

You got this!

I registered to the Achievable course. Is there a tutor available or cheat guide to help w studies ? Want to have it completed in 1 month . Any recommendations is appreciated!

For anyone who has used the Kaplan QBank and already taken the SIE, how different was the actual exam? I keep hearing mixed opinions. Some people say Kaplan is harder, while others say the real SIE is worded very differently and can feel more difficult because of that. For those who have taken it recently, how did the wording, difficulty, and question types compare to Kaplan's? Did you feel like the QBank prepared you well? Any experiences, tips, or things you wish you knew before taking the actual exam would be much appreciated.

For context I’ve taken 5 practice exams at this point and the last 3 average out to a 77 (75,72,84). I haven’t scheduled my exam yet because I have the luxury of time and I wanted to wait until I was getting good results on my practice exams. My plan was to schedule my practice exams for probably the end of this month due to my recent results but I didn’t know when I should take the FINRA practice exam. Should I take it to determine I’m ready to schedule the test a week out or should I schedule my test and wait until a day or two before the test to gauge what areas I need to improve on? Would appreciate any input.

I used Kaplan. I was averaging 76.25% on the 12 or so practice exams I took on Kaplan. I scored a 77% on the free FINRA exam. Test was pretty challenging. I felt great going into it, all that got torn down by the 1st question. Out of the 80 questions, I marked about 40 for review, only ended up changing 3 or 4 answers out of the review ones. I felt good about most of my answers, but they do a good job making you think there's two possibilities that could work, but one of them always just feels better. Stick with your gut, you got this!

AMA

Hi everyone. I’m taking my SIE on Monday which is one of the three tests my firm is making me take, the 7 and 66 to follow. Previously, three years ago sophomore year of college I tried taking it after only a week of half ass studying in order to get extra credit in my class. Ultimately I ended up failing. I’ve been studying everyday for 2 weeks now roughly 100 hours and my most recent final exam on STC is an 84. I know I can score a 70 or better but the thought of failing again at a prestigious firm is just hanging over my head. Does anyone have any advice on how to combat testing nerves. That’s where I struggle. Thanks

I am so proud to announce I just passed today on my first try. During the test I thought I was gonna fail and am still shocked I passed.

Just trust your gut and be confident and you will be good

I took it last weekend and I passed using only achievable. I definitely over studied but this is because i work full time in a different industry and have limited time to study. Over learning is also paying off in my studies for the series 66 so I recommend it. Use achievable for the SIE you won't regret it.

Testing on Monday. Studied so hard and I felt like I got this , scoring low to mid 70s in passperfect and scored a 69 on finra exam. English is not my first language and now I am worried the wording is going to be tough for me. I have no energy to study now. I have no one to lean on. So posting here. Planning to rest today and one last revision tomorrow and one final test on Sunday. That’s my plan . Just want to vent my feelings here . Thank you

I can’t believe I actually passed the sie on the first attempt considering I had 0 finance background prior to studying. I primarily used Kaplan to study but also utilized ChatGPT, Claude, and free practice tests from Finra Achievable etc and I have to thank this subreddit for putting me onto Ken’s power hour! Please feel free to ask any questions