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.

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 2-3 weeks before your desired exam date to ensure testing center availability

STEP 1:  Email us at [email protected] to request your voucher code.

Enrolling to take your SIE exam requires payment of the exam fee. The voucher code from Knopman Marks will cover this fee.

When you request your voucher code, your practice exam scores will be reviewed by Knopman Marks to ensure exam readiness – typically defined as having passed at least four practice exams. Please allow once business day to receive a voucher code back 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.

Please contact us at [email protected] or at 212-626-6899 with any difficulties scheduling the test.

Share:
Written by Marcia Larson
Marcia Larson is Vice President, Faculty, at Knopman Marks Financial Training, New York, NY. She has extensive experience in financial licensing and regulatory training, having authored, developed and presented courseware for numerous securities and insurance exam preparation and continuing education and compliance programs. Before joining Knopman Marks, Marcia was Director of Annuity Products and Business Development at CUNA Mutual Group, where she developed and marketed industry-leading annuity products and retirement solutions and implemented distribution relationships. She was previously VP, Securities Products for Kaplan Financial, managing securities training products and subsequently, international training and businesses development. Marcia has trained thousands of financial industry exam candidates throughout their careers, and also college students as an adjunct professor. Marcia was a summa cum laude graduate of Wartburg College with degrees in Business Administration and Piano Performance. Marcia also holds the designations of Chartered Financial Consultant® (ChFC®), Chartered Life Underwriter (CLU®), Certified Employee Benefit Specialist (CEBS), and Fellow Life Management Institute™ (FLMI®). She currently teaches the SIE, Series 6, 7, 24, 50, 52, 63, 65, and 66 exams.