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.
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…
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!
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…
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!
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!
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…
What was your 'aha!' moment that made you realize a career in finance was the right path for you?
FINRA and NASAA are notorious for their 'except' and 'all of the following but' phrasing on exams. For those who have conquered the SIE, Series 7, or Series 66, what was your personal strategy for parsing through those tricky, double-negative answer choices without losing valuable time? ⏳
Sometimes the Securities Industry can feel like a maze. Do you want to know if and how exams like the SIE, Series 7, 66, 65, 3, 6, FINRA Principal exams, CFA, CAIA, CFP or other licenses can help your career? Are you looking for insights into Industry trends or want some thoughts on what employing firms are looking for?…
If you're trying to figure out which FINRA exam to register for first, you're facing a decision that directly impacts your study schedule and hiring timeline. Sequencing your exams strategically allows you to leverage overlapping study material so each passed test makes the next one easier. In this guide, we'll break down…
Hello, community! Before joining the team at Kaplan as a Subject Matter Expert, I spent over 20 years in Financial Planning and Portfolio Management. Over those two decades, I guided thousands of clients through retirement planning, portfolio construction, and wealth transfer strategies. My goal is to write a few articles…
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