Barb Gavitt, ITP, SILA-F

Barb Gavitt, ITP, SILA-F, is the Vice President of Product Development and Education for A.D. Banker & Company and is responsible for developing and maintaining the curriculum and learning tools used in insurance licensing and FINRA training courses, both live and online, delivered nationally. Barb has been in the insurance education and training industry since 1991. She has a B.S. in Education from Eastern Michigan University and a Certificate in Distance Education from Indiana University. She is an Associate Trainer for the International Board of Certified Trainers (IBCT) and holds the CDEI designation (Certified Distance Education Instructor) from the International Distance Education Certification Center (IDECC).

Author Archives: Barb Gavitt, ITP, SILA-F

Getting Started in the Securities Industry: Preparing for the SIE Exam

By | October 2, 2018

Step 1 – The Securities Industry Essentials (SIE) Exam Beginning October 1, 2018, those looking to become registered as a securities industry professional will have to pass the FINRA Securities Industry Essentials examination (SIE). Any individual age 18 or older is eligible to take the SIE exam. There is no requirement to be sponsored by a broker-dealer. The… Read More »

Securities Industry Essentials (SIE) Exam Basics

By | September 28, 2018

What is the Securities Industry Essentials exam (SIE)? The FINRA Securities Industry Essentials examination (SIE) is an introductory-level exam that tests candidate’s knowledge on basic securities industry concepts. Effective October 1, 2018, the SIE exam is a corequisite to all representative-level exams, which have been revised by FINRA. Candidates must pass the SIE along with a representative-level exam,… Read More »

Securities Industry Essentials for Universities

The Securities Industry Essentials (SIE) Exam is being implemented as an entry-level exam testing knowledge of basic industry concepts. The exam will focus on four main areas: Knowledge of Capital Markets Understanding Products and their Risks Understanding Trading, Customer Accounts and Prohibited Activities, and Overview of the Regulatory Framework Examples of topics include: the basic characteristics of investment… Read More »

Series 6 Exam Restructure: Everything You Need to Know

By | February 13, 2018

Beginning October 1, 2018, prospective securities industry professionals looking to become registered with a firm at the representative level will be required to pass the new Securities Industry Essentials (SIE) exam in addition to a revised representative-level qualification exam. These exams are considered “corequisites” in meeting the exam requirement and obtaining a registration. This means there is no… Read More »

Series 7 Exam Restructure: Everything You Need to Know

By | February 13, 2018

Beginning October 1, 2018, prospective securities industry professionals looking to become registered with a firm at the representative level will be required to pass the new Securities Industry Essentials (SIE) exam in addition to a revised representative-level qualification exam. These exams are considered “corequisites” in meeting the exam requirement and obtaining a registration. This means there is no… Read More »

The Ultimate Guide to the Securities Industry Essentials (SIE) Exam

By | January 24, 2018

Beginning on October 1, 2018, those looking to become registered as a securities industry professional will have to pass the Securities Industry Essentials (SIE) exam and a FINRA representative-level qualification “top-off” exam. What information does the SIE cover? FINRA released the new Securities Industry Essentials exam outline on January 12, 2018. This is an introductory-level exam that will… Read More »

The Securities Industry Essentials Exam (SIE)

By | October 3, 2017

It is certainly not “breaking news” that FINRA (Financial Industry Regulatory Authority) will introduce a securities industry general knowledge exam to streamline the qualification exam structure for individuals entering the securities industry. Currently, an individual interested in working in the securities industry as a registered representative must be associated with a FINRA regulated broker-dealer firm and he or… Read More »

Insurance Prelicensing Study Plans

By | September 30, 2016

A.D. Banker has developed free Insurance Prelicensing Study Plans to help you stay on track during your studies and complete your education quickly so you can get your license and start growing your career. Scheduling your state exam before you start your study plan will help you pass your state exam on the first attempt. Your state exam should be scheduled one… Read More »