As of October 1st of 2018, anyone interested in becoming a financial advisor, will have to take and pass the SIE and a representative level exam such as the series 6 or the series 7 exam. This applies to you if you opened your window with FINRA on or after October 1st, 2018. You do not need to be sponsored for the SIE but you will have to be sponsored for the top off exams (series 6,7, etc).

If anyone is interested in getting a discount on Kaplan materials for the securities industry essentials exam (SIE), the series 7 exam and other exams such as the series 6, 63, 65 and 66 exams, you can use the link below:

https://portal.kaplanfinancial.com/partner/examtutor/portal/login