Get ahead in your career with the SIE

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Franco Flores shares his story of passing the Securities Industry Essentials (SIE) exam on his first attempt and preparing for more advanced roles, all while overcoming personal challenges. If you want to aim higher in your finance journey, read below to find inspiration from other professionals early in their careers, just like you.

What motivated you to take this exam?

My manager at the time always advised me to anticipate future career steps in order to be prepared for the future. One of those was to obtain my SIE. Although not a requirement at the time, when opportunities arose, it would look best on my resume to have it already rather than getting it when I had to. With my broker-dealer, to become a supervisor, an SIE was a requirement. There were no positions open at the time, but knowing the requirements, I knew passing the exam would put me at an advantage, for not many had their SIE within the company.

What was the biggest challenge you faced during your prep?

Life definitely does get in the way. I first started studying using a manual that a friend had given me right before the pandemic. Losing my father-in-law to COVID was hard for all of us. I had to put my studying on the side. Two years later, I got back on that horse and faced my first material challenge. The exam prep was provided by my company (not a sponsorship); however, I was struggling to grasp the material provided by the website, and I did not feel confident as the exam date approached. I purchased Achievable with a month to go before my exam, and all I could think was that I had wished I had bought this sooner!

Did you use any strategies, habits, or tools that helped?

I maintained my routine consistently all the way up to my exam day. I would study using flashcards, notes, and videos in the morning, but I would always take my full exam at noon. I would notice that my mind was always prepared at noon for an exam, so I scheduled my exam at the same time to give my brain a mental boost.

How did you balance studying with other responsibilities?

When I started with my broker-dealer, I had no experience or knowledge of the finance industry, and I only had a high school diploma. Adopting those study habits was not an easy task, and as a father of two small girls, I had to balance work and my study time, often sacrificing time with my family or attending other events. Sundays were my “off day” from everything, but I would still find myself studying regardless, seven days a week.

What advice would you give to someone just starting?

What I recommend is not to tell anyone that you're studying or when you're going to take the exam. It helps with the pressure. Watch other material on YouTube to grasp material you may still want to explore, such as the SIE guru to see a different perspective in your learning, such as exam walkthroughs, or tips and tricks for memorization. Staying consistent and true to yourself on how much time you need to take the exam. Don’t take too much time, though! You need a reason to stay motivated and keep going! Mine was for my family and to advance in my career.

What’s next for you now that you’ve finished the exam?

I can now say that having my SIE opened up a door within 2 months, and I am now a supervisor! My next step is to work on becoming sponsored by my company and using Achievable for the Series 66 to get ahead and be prepared when my sponsorship is approved!

You can try our SIE course for free to see if it fits your learning style. And maybe you will be sharing your journey with us and others here, too!

Best of luck!