About FINRA. The Financial Industry Regulatory Authority is the regulator for the US Financial Industry. The Securities Industry Essentials (SIE) Exam is an introductory level exam open to anybody over the age of 18 regardless of geographical location, level of education or connection to a registered firm.
After you have passed your SIE, after a few months, a successful job candidate is required to pass an ‘Add On’ credential. This depends on your role in your new employment, but in alot of cases a Series 6 or Series 7 is the next requirement. We can help you with these credentials as well.
From a signaling perspective, obtaining the Securities Industry Essentials (SIE) certification prior to an interview serves as a powerful “pre-qualification” mechanism. In a competitive field, the SIE acts as a credible signal of proactive intent and baseline competency.
It demonstrates that the candidate has already overcome the initial “barrier to entry” by mastering regulatory frameworks and market mechanics on their own initiative. This reduces the perceived risk for the employer, signaling that the individual is “trainable” and possesses the discipline to navigate FINRA’s rigorous testing environment. By self-investing in the credential, the candidate effectively shifts from a high-uncertainty asset to one with validated foundational knowledge, signaling a lower cost of onboarding and a higher probability of long-term success.