Note to Readers:

The scheduling instructions below apply only to candidates enrolled in a formal training program who have been asked to take the SIE in advance of training. All others can refer to this post on how to register for the SIE exam.

The SIE exam and all FINRA exams are administered at Prometric Testing Centers. To take your exam, you must make an appointment with a Prometric Center after creating an account in FINRA’s Test Enrollment Services System (TESS).

The three steps below will help you complete the enrollment process and schedule the exam. Plan to complete these steps to sign up for your SIE Exam 2 to 3 weeks before your desired exam date to ensure testing center availability. Below, you will also find our FAQ for using vouchers to test.

STEP 1: Request a Voucher.

You will need to request a voucher for your SIE Exam.

To request a voucher, click on the blue Request Voucher button in your Training Center. Find this button on your left, below your Upcoming Exam date. Your practice exam scores will be reviewed by Knopman Marks to ensure exam readiness, typically defined as having completed a sufficient number of questions with scores at or close to passing. Please allow one business day to receive your voucher code via email.

STEP 2: Create your FINRA exam account and profile.

After you receive your voucher code, you must create an account with FINRA. To do so, complete your account profile through FINRA’s registration site. Scroll down the page and click “Get Started” to begin the enrollment process.

Tips:

• At the top of the privacy statement, you will be asked for your User ID. Leave the field blank and click “Register New User” at the right side of the field and accept the privacy terms as directed.

• Fill out the profile form as instructed. At the upper right where User ID is requested, click below the box to autogenerate your User ID.

BE SURE to add your Social Security number to avoid registration issues later on.

After you create a profile and login, do the following:

1. Select “SIE exam.”
2. Enter your Knopman Marks voucher code, select “Apply;” then select “Continue.”
3. Follow the instructions to complete your enrollment.

FINRA will send an enrollment confirmation email with your FINRA ID number (i.e. “T-Number”) and instructions for scheduling your exam appointment. You must wait to proceed to step three until you receive the FINRA ID via email. It typically will be received within 10 minutes.

STEP 3: Schedule your SIE Exam with Prometric

Access the Prometric site through FINRA’s website based on the instructions in the enrollment confirmation email you received or go directly to Prometric’s website.

1. Scroll down & select “Schedule your Exam” under the “For Test Takers” heading.
2. Type “FINRA” in the search box to begin the scheduling process.
3. Enter your FINRA ID number from the enrollment confirmation email where prompted.
   
4. Select the location, date, and time of your exam.

Tip: Prometric may have appointment times that are not displayed on their website. To check, contact Prometric by phone at 800-578-6273. Set aside at least 30 minutes for this call to accommodate hold times.

FAQs

Q: How do I request another voucher if I fail the SIE the first time?

A: The “Request Voucher” button will re-appear in your account within 1 business day. You can follow the same process of clicking on the button to determine your eligibility.

Q: My voucher request was denied. What can I do to receive a voucher?

A: You can re-request a voucher after 24 hours. While waiting, please complete 2-3 more 85 question practice exams, with a target score of 68% or higher.

Q: Due to scheduling/traveling conflicts, I need to take the exam ASAP and cannot wait. Even though I’m still studying, can I receive the voucher code now so that I can test in a few days?

A: Email data@knopman.com for assistance.

Q: Can I receive a voucher code early so that I can view availability?

A: We recommend completing the requirements to receive a voucher – complete 2-3 85-question quizzes with scores at or above passing. You can still view exam availability through this Prometric link. Select “FINRA” as your Test Sponsor and follow the prompts to continue.

Q: I paid for the exam out of pocket, how do I receive reimbursement?

A: You should reach out to your firm directly for reimbursement.

Q: Can I test after June 1 as long as it’s before my start date?

A: Our recommended deadline to take the SIE exam is June 1st as it provides time for the 30-day wait period in case you do not pass on your 1st attempt. However, you can feel free to take a few extra days to ensure you are ready and confident to test prior to your start date. PLEASE NOTE: your firm may have a different official deadline, so please be sure to follow their guidance if something different has been communicated to you.

Q: I passed my exam. Will KM notify my firm?

A: Yes, please reply to our email with how you scored on the exam or input your score in your online training center. Once your scored has been logged, we will communicate this to your firm.

Please contact us at pm@knopman.com or at 212-626-6899 with any difficulties scheduling the test.