The Financial Securities Industry Resource Guide: From Exam Prep to Expertise

The securities industry can be complex and competitive. Those who thrive often seek the guidance of industry veterans and high achievers who have paved the way to success.

In this guide, you will find tips to succeed at every stage of your career—from exam prep to expertise.  

Securities Exam Prep Builds Foundational Knowledge

Securities exam prep is not just about passing a test, but about laying down a solid foundation of knowledge that can propel your career forward. By mastering fundamental concepts, candidates not only improve their chances of passing, but gain a deeper understanding that can help them find early success.

As you prepare for the exam, focus on building a solid understanding of the core concepts and principles while using resources like study guides, practice exams, and mentorship to refine your knowledge and strategy.

Proactively completing the Securities Industry Essentials (SIE) exam and other required Series exams signals to employers your readiness and eagerness to contribute effectively from day one. This approach not only prepares you for exam success but positions you to thrive in a dynamic industry where knowledge and expertise are paramount.

Seek Out Mentors for Guidance

Mentorship offers numerous benefits to both personal and professional development:

• Guidance & Wisdom: Mentors provide nuanced insights based on their seasoned experience, helping mentees navigate challenges and make informed decisions with confidence.

• Networking Opportunities: Mentors often introduce mentees to those in their professional networks, opening doors to new opportunities and connections throughout the industry.

• Skill Development: Mentors offer personalized advice on skill development and best practices.

• Career Advancement: Mentors can accelerate a mentee’s career and visibility within their organization and industry circles.

• Emotional Support: Mentors serve as a sounding board while providing encouragement during tough times to boost a mentee’s confidence and resilience.

How to Find a Mentor

Quality mentors can be found in several ways:

• Professional Organizations: Join industry-specific associations or organizations for access to their mentorship programs or networking events.

• Current Employer: Seek out a mentor within your organization, ideally someone in a senior position or expertise in your field of interest.

• Connect Online: Search and engage on online platforms like LinkedIn to industry forums to seek out and connect with experienced industry professionals.

• Alumni Networks: High school, college, or workplace networks are often receptive to helping fellow alumni.

• Conferences & Seminars: Attend industry conferences, seminars, or workshops where you can meet potential mentors and establish industry connections.

If finding a mentor proves challenging, consider creating a peer network with colleagues or classmates to share experiences and support one another.

Seeking constructive feedback from supervisors, colleagues, or professors can help identify areas for improvement—and could even develop into a mentorship.

Professional Development Resources for Securities Professionals

Self-directed learning is what sets professionals apart. While mentors offer big advantages to beginning and shaping a career, eventually a professional needs to take charge of their professional development as they pursue their goals.

Creating a personal collection of industry resources for insights and updates is a crucial part of finding success. As you review the sources below, think about where you currently get your news and updates. Using a variety of sources can help highlight different details and offer unique perspectives for a more complete picture.

To help find the right resource for you, we have listed them by learning style: Visual, Auditory, and Kinesthetic. This approach of matching the media with your learning style or schedule—such as listening to a securities podcast during the commute to work—enhances engagement and improves retention for more effective learning.

Visual Learners

Visual learners prefer processing information by seeing or observing. This can be graphs, diagrams, videos, animations, or written instructions.

Visual learners have a wide variety of securities industry resources:

YouTube Channels – Think visual podcasts from industry experts offering insights into whatever strikes their fancy. To get started and help the YouTube algorithm start suggesting even more, check out these channels:

• Retirement Planning Education with Andy Panko, CFP, RICP, EA

• Approach Financial with Justin Pritchard, CFP, MBA, RMA

• The Compound - YouTube channel run by Josh Brown, writer of the now defunct (but still insightful) Reformed Broker blog.

• FINRA - the official channel of the Financial Regulatory Authority

• SIFMA - the official channel of the Securities Industry and Financial Markets Association

• BONUS: Some official YouTube channels even stream live television coverage:

  • Bloomberg Television

  • Schwab Network

  • Yahoo Finance

Find Industry Leaders on LinkedIn – Find, follow, and connect with professionals that are working for companies you want to work for or that have positions you would like to have one day

Online Forums & Communities – While not always factual, these communities can offer insights into practical applications, new best practices, and the latest trends. Here are a few places on Reddit to get started:

• r/CFP

• r/FinancialCareers

• r/CryptoCurrency

• r/CryptoMarkets

• r/SecurityAnalysis

• r/Retirement

• r/PersonalFinance

• r/Economics

Auditory Learners

Auditory learners retain information best from listening to lectures or discussions. This approach may also be the only option in some circumstances, such as commuting to work or cleaning the house. In short, these resources are perfect for multi-tasking.

Auditory learners might find helpful insights from:

Podcasts

• Wharton FinTech - One of the largest student-led FinTech communities, centered around education, career development, community-building, and thought leadership.

• Between Now and Success - Interviews with top achievers and visionary voices at the intersections of business and life.

• We Study Billionaires - The largest stock investing podcast in the world interviews famous financial billionaires then explains how to apply their investment strategies.

• Financial Advisor Success - Michale Kitces interviews leading advisors and consultants to offer practice management tips and a behind-the-scenes look at how the best firms are built and run.

• FINRA Unscripted - A platform for FINRA and other industry leaders to offer expert commentary and insights into regulatory updates and industry changes.

• BONUS: Financial Times News Briefing - A daily, 10ish-minute rundown of the most important global business stories.

Radio

• Bloomberg Radio - A global 24-hour business radio station with analysts in more than 120 countries.

• Marketplace from American Public Radio – A public media outlet covering business and the economy that is both engaging and accessible.

Kinesthetic Learners

Kinesthetic learners, also known as tactile learners, learn best through hands-on experience and physical activities.

If this sounds like you, consider:

Rotational Programs – Many companies offer these multi-year developmental programs that rotate young talent to different departments each year, often supported with on-the-job training and mentorship.

Hackathons – Industry hackathons for intensive sessions developing innovative financial solutions or tools to help learn new technologies, collaborate, and prototype solutions—all through active participation.

Conferences & Other In-Person Industry Events – Excellent places to find thought leaders, mentors, and are always great for growing your network. Here is a small sample of annual conferences:

• SFVegas - The largest capital markets conference in the world is held each year in Las Vegas.

• AICPA & CIMA CFO Conference - Seasoned CFOs from across the country offer the latest innovations and anticipated trends to keep you on the cutting edge.

• US FinTech Symposium - Instead of presentations, this conference is two-and-a-half days of networking, peer-to-peer discussions, and innovative panel discussions.

In the end, the goal is to create your own information hub filled with quality sources that are diverse enough to offer a complete picture. Creating this habit is much easier—and more effective—when the content fits your learning style, schedule, and goals.

For more professional development tips, including how to set SMART (Specific, Measurable, Achievable, Relevant, and Time-Bound) goals and tips for staying motivated amid challenges, read our guide on How to Create a Successful Professional Development Plan.

A Career-Long Professional Development Partner

Building a successful and fulfilling career requires continuous learning and development. At WebCE, we understand that your journey starts well before your first exam and extends far beyond your initial successes.

That is why we have developed industry-leading products to help you succeed at every stage of your career, including:

• Securities Exam Prep – Master the fundamentals with our SIE exam prep and exam practice packages along with exam prep for Series 6, 7, 63, 65, and 66.

• Insurance Exam Prep – From prelicensing courses to exam prep, our extensive catalog spans life & health, property & casualty, & personal lines.

• Investment Advisor Representative Continuing Education – Our continuously updated IAR CE catalog offers the latest updates and best practices to help you stay compliant and competitive.

• Firm Element – Get the tools and training you need to build a successful firm element program from our vast library of courses.

• Multi-Credit Catalog – Saving time and money with our multi-credit catalog to find courses that fulfill requirements for multiple licenses or certifications at once.

But we are much more than these resources. We are your trusted partner in achieving your professional goals throughout all stages of your career.