Securities Industry Essentials (SIE) Exam

Can you take the FINRA SIE Exam without a sponsor?

Can you take the FINRA SIE Exam without a sponsor?

Credit: Brooke Cagle on Unsplash

Can I take the SIE without a sponsor?

The answer is: Yes! You can take the SIE without sponsorship from a FINRA firm. This is a great way to improve your resume and show firms both that you’re serious about a finance career and that you understand key industry concepts.

You should prepare for the exam using a FINRA SIE Exam prep course (see our comparison of different SIE Exam prep vendors). Once you’re ready, you can sign up to sit for the SIE Exam by registering on FINRA’s website and then visiting their Schedule An Exam page.

To learn more about the FINRA SIE Exam, visit our overview site: “What’s the SIE?

However, the SIE by itself does not fully license you for any of the licensed finance roles. In order to complete your license, you need to take a top-off exam.


The FINRA Top-Off Exams are:

  1. Series 6: Investment Company Representative (IR)
  2. Series 7: General Securities Representative (GS)
  3. Series 22: DPP Representative (DR)
  4. Series 57: Securities Trader (TD)
  5. Series 79: Investment Banking Representative (IB)
  6. Series 82: Private Securities Offerings Representative (PR)
  7. Series 86 and 87: Research Analyst (RS)
  8. Series 99: Operations Professional (OS)

You will need to be sponsored by a FINRA firm to be eligible to attempt and pass those exams above. Once you pass the SIE and corresponding Top-Off Exam, you will get the license listed above.

For more information on the SIE Exam, visit our FINRA SIE Content Breakdown on our blog.

For more information on the Series 7 Top-Off Exam, visit our Series 7 Top-Off Exam Deep Dive on our blog as well.


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About Achievable

The FINRA SIE Exam is a new test for students and career switchers that want to show their proficiency in finance. Passing the SIE before applying to jobs will help your resume stand out. The proof is in the results: our students have gone on to jobs at Goldman Sachs, Wells Fargo, Fidelity Investments, Edward Jones, and many other great firms.

Achievable’s FINRA SIE course is the most modern and effective on the market. We leverage data analytics and learning science to create a personalized study program for you, on your phone, tablet, or computer. Follow it, and we guarantee that you’ll pass.

Best of all, it’s free to try – visit to see why more students are switching to Achievable.

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