Financial Advisor Preparation

This program is designed to prepare students for entry-level employment in the financial services sector, on a pathway to potentially become financial advisors. An emphasis is placed on preparation for the Securities Industry Essentials (SIE) exam, which is the first step in the process of becoming registered to engage in securities business. Topics covered include basic securities industry information, and concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Students will also learn the features of digital assets, such as Bitcoin, and how they can be used in an investment plan.

Program Courses & Requirements

Learning Outcomes

• Recall concepts fundamental to working in the securities industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies, and prohibited practices.