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Securities Success Community

The ultimate meeting ground for the securities industry. Join fellow pros and aspiring reps to share real-world experiences, tackle licensure hurdles, and find the solutions you need to thrive.

Securities Success Community

The ultimate meeting ground for the securities industry. Join fellow pros and aspiring reps to share real-world experiences, tackle licensure hurdles, and find the solutions you need to thrive.

Meet Jose Santiago Cortes, Senior Securities Instructor, Community Moderator
Hello! My name is Jose Santiago Cortes IV, and I am a Senior Instructor with Kaplan. I earned a BBA in Finance and Business Economics from the University of Notre Dame in 1997 and hold Series 7 and Series 63 registrations. With more than 30 years of experience in U.S. and international banking, finance, investments, and…
Meet Debra Frazier, Community Moderator
Hi, My name is Debra Frazier and I have over 30+ years as a financial services professional with expertise in teaching securities courses, training & development, retirement planning and developing client/business relationships, and process management. I joined Kaplan NA in 2017 as a securities Instructor and was recently…
Meet Our Experts! Bill James - Senior Content Specialist
Hi, I'm Bill James, Senior Content Specialist in Securities — and I've been living and breathing this industry for nearly four decades! My journey began at Kaplan Financial in 1987 as a Series 7 and 8 instructor in the Northeast U.S., and I never looked back. Over the years, I've presented to C-suite audiences at firms…
Meet Our Experts! Marie Sychowski
Hi, nice to meet you 🤝 My name is Marie Sychowski and I'm happy to be part of the Kaplan Securities Student Communities. I'm looking forward to engaging with all of you who are dedicating yourselves to passing your licensing exam(s) !! I've been teaching for Kaplan for over 25 years (yikes!) and pride myself on being able…
Meet Our Team! Ruth Castillo
Hello! My name is Ruth Castillo, and I am the Product Manager for the Securities product line at Kaplan. My passion has always been education, and I have worked as a teacher, program manager, educational researcher, content producer, and product manager for the last 14 years. I love working on our Securities team at Kaplan…
Meet Our Experts! Jim Heitman
Hello! My name is Jim Heitman, CFP®, and I am a Senior Content Specialist on Kaplan’s Securities team. My career in the securities industry began in 1987, when I passed the Series 7 exam. Over the next three decades, I worked as a registered representative, branch manager, independent registered investment adviser, and…
Meet Our Experts! Dr.Cappy
Hello, my name is Phillip W. Caponigro, Ph.D., but all my students simply call me Dr. Cappy. I have been with Kaplan North America (KNA) for more than 22 years, and I have taught classes in Insurance, Securities, and Continuing Education through some of the most challenging regulatory changes in recent history. While my…
Meet Our Experts! Deborah Clark
My name is Deborah Clark. In 2016, while pursuing a JD at Kaplan's Concord Law School, I joined the Kaplan Instructor team as a part-time securities instructor for the SIE, Series 6, 63, and 7 study programs. As a professional who is passionate about education, I thoroughly enjoyed assisting students with passing…
Meet Our Experts! Magdy Tadros
Welcome to Kaplan’s Communities. My name is Magdy Tadros, and I will be one of your instructors as you begin to navigate the world of financial services. I began my career in 1987 as a municipal bond salesperson with a small firm. I retired in 2019 and began my teaching career with Kaplan. During the 32 years I was in the…
Why I chose a career in the Securities Industry
Investing for retirement shouldn’t feel confusing, overwhelming, or out of reach. After reading books authored by Suze Orman and John Bogle (The Creation of The Vanguard Group), I was inspired to seek a career in the securities industry that would allow me to educate everyday investors. A position that would allow me to…
How did you find your first mentor?
When you were early in your career, how did you find your first mentor? Did it happen organically, or did you actively ask someone? Share your experience in the comments below!

Icebreaker - We want to hear from you!
Let's get to know each other! In the comments, let us know: What state you're from What exam you're prepping for and your test date A fun fact about yourself This is a great opportunity for us to get to know each other. Who knows, you might even find a study partner in the comments!
New to our community? Start here!
Whether you’re tackling a securities, investment adviser, futures, or supervisory exam, you’ve found your community. We’re here to simplify your licensing journey with exam FAQs, proven test-taking strategies, and career spotlights. Join us to avoid common pitfalls, get your prep questions answered, and network with fellow…
What are the most common reasons candidates fail the Series 63 Exam?
Question: Trying to focus my prep on the harder parts of the exam. What are the most common reasons candidates fail the Series 63 Exam? @Marie_Sychowski100354 Answer: The Series 63 is often underestimated. It's a 60 question exam and most students will take the S63 after they've taken their SIE, then S7 or S6. The S7 is…
Series 7 or Series 65 which to get first?
Hello, I just passed my SIE and want to dig right into the next exam. Does it make sense to do the series 65 first as I understand it's shorter and then do the Series 7 or vice versa?
🛣️ Career Transitions & First Steps
For anyone who entered insurance from a completely different industry (hospitality, retail, teaching, military, etc.): What was the biggest transferable skill that surprisingly gave you an edge?
FAQ: What happens if I don't pass the SIE? Can I retake it?
Question: I'm about to take the SIE, and I'm a little worried. What happens if I don't pass? Can I retake it? @Debra_At_Kaplan: If you fail the SIE on your first and second attempts, there is a 30-day waiting period before you can take the exam again. After the third failed attempt, there is a 180-day waiting period. For…
Beyond the Exam - The Irrelevance of Alpha
A lot of the regulatory material I work on is important to know for the exam, but not so much for real life application. I was talking to a young Advisor about Beta & Alpha the other day in an exam context, and the conversation drifted to how I used Alpha in my past career as an Investment Advisor. My answer was not much…
Is there an app for Kaplan?
Hi community! I downloaded a Kaplan app that I found in itunes, but my login doesn't work. I have the Series 65 course. Is there an app for the curriculum? Thanks! Melissa
What's the Best Continuing Education Course You've Ever Taken?💡
Continuing education doesn't have to be seen as just a requirement; it can actually be fun and grow your skills! 💬 We want to know: What is the most interesting or useful CE course topic you’ve taken so far in your career? Let us know in the comments!
How to Manage Continuing Education Requirements for Securities Licenses
Managing mandatory continuing education (CE) for your securities licenses requires keeping track of annual deadlines for FINRA Regulatory Elements, Firm Elements, and NASAA requirements to maintain your active status. Failing to meet these deadlines places your registrations in "CE Inactive" status, which legally prohibits…