About SIE Professor

Are you ready to explore all the financial securities industry has to offer? If so, SIE Professor is the perfect place to start. This results-driven learning platform and tools are available at 20% less than traditional test preparation courses.

SIE Professor’s videos bring the world of financial securities to life for you. You can test your knowledge in the industry with the quizzes that are included in SIE Professor’s online learning platform. Together the videos and quizzes maximize your learning and increase your information retention. You can track your progress on the SIE Professor’s completion meter. 

Developed by Eric Field and Ann Griffith, leading financial securities industry experts with more than 40 years of experience, SIE Professor is based on a wealth of expertise and remains on the pulse of the financial securities industry. Rules, regulations, tax laws, and industry standards are updated as changes occur. 

SIE Professor’s founders and program developers have passed numerous FINRA and MSRB licensing exams and incorporated the key components to prepare for and pass complex exams into this results-focused program.

Eric Field

Eric has more than 20 years of experience in a broad scope of key roles in the financial services industry. He worked for industry regulator FINRA during his time in the financial services industry where he conducted examinations of member firms. Following FINRA, Eric obtained extensive experience in compliance roles at two broker-dealers, focusing on capital markets, registrations, policies and procedures, and communications. While conducting his broker-dealer work, he interacted with the SEC, FINRA, and MSRB along with other FINRA member firms both during routine regulatory matters and industry conferences as a panelist. More recently, he has taught bachelors- and masters-level college finance courses as an adjunct professor at Carroll University in Waukesha, WI. Along with several securities industry licenses, Eric holds a Master of Science in Finance from Johns Hopkins University and a Bachelor of Science in Business Administration (Finance) from West Virginia University. Contact Eric at eric@sieprofessor.com.

Ann Griffith

Ann has more than 20 years of expertise in senior regulatory, compliance and legal counsel roles in the financial services industry. Ann’s extensive experience in investment advisor, broker-dealer, capital markets, and international regulatory and compliance matters. In addition to her senior roles with the World Bank, FBR Capital Markets and Credit Suisse First Boston, Ann’s extensive experience includes serving as counsel in various positions with FINRA and the SEC. Ann’s experience includes working with broker-dealers and investment advisors to develop and implement compliance programs and providing advice on supervisory and registration issues, as well as drafting Written Supervisory Procedures and policies and procedures. In addition to several securities industry licenses, Ann holds a Bachelor of Arts (English Literature) and Juris Doctor degrees from the University of Illinois. Contact Ann at ann@sieprofessor.com.

Choose SIE Professor for your financial securities training and learn from experts who know what you need to succeed.

FAQ

Who administers the actual SIE Exam?

One of the leading securities industry regulators, the Financial Industry Regulatory Authority (FINRA), administers the actual SIE Exam. 

How do I know what is covered on the SIE Exam?

FINRA publishes an outline of what is on the SIE Exam. While the outline provides the topics that will be covered on the SIE Exam, it does not provide nearly enough to study for and pass the SIE Exam. This is where the SIE Professor comes in!

What do you get when you purchase the SIE Exam Prep Course from SIE Professor?

You receive all SIE exam study materials at one price for your SIE test prep—course content in electronic form, end of chapter problems, chapter quizzes, study tips, chapter focused mini-exams, and final exams. 

How long do you have access to the SIE Professor course once purchased?

From your date of purchase, you are enrolled in the SIE Exam Prep Course for 180 days. All purchases are final, but you may re-enroll by paying an additional fee.

How do I purchase a hard copy text book?

Click here to purchase your hard copy textbook from Amazon.com.

Do you offer any SIE Exam tutor services?

       Yes!  We offer 1 on 1 SIE Exam tutoring for those that need extra help.  More information on our tutoring         is available here.  

Where and how do I register to take the SIE Exam?

You take the SIE Exam in a testing center approved by FINRA. The cost of the actual SIE Exam, payable to the testing center is $60. SIE Exam registration can be completed here.

How long is the actual FINRA SIE Exam?

 You will have 1 hour 45 minutes (105 minutes) to complete the SIE Exam in the testing center. 

How many questions are there on the FINRA SIE Exam?

FINRA’s exam is 85 questions long—75 scored and 10 unscored questions. Unscored questions do not count toward your score on the SIE Exam. 

Sign up for SIE Professor’s training, dedicate the time, and you will be well prepared for the SIE Exam.