How I Got My SIE, Series 7 & 66 Before Graduation
A personal story to motivate you and give you real ideas to take action
This week’s post is a little different. Rather than diving into a topic in the wealth management industry, I wanted to share part of my story. If you’re a student trying to figure out how to break into finance or just looking for some inspiration, I hope this helps.
The Beginning
I started at Onondaga Community College in the Syracuse area to save on tuition, knock out prerequisites, and eventually transfer to a four-year university. It turned out to be one of the best decisions I ever made.
I got involved early joining the Business Club, student government (eventually becoming president), and multiple honor societies. I also focused on building real relationships with faculty and classmates.
But one of the biggest gems was joining a summer internship after my freshman year called the Synergy Internship Program. It places students at local businesses, and I got placed at a hybrid RIA (Registered Investment Advisory firm). My boss told me I’d need to pass the SIE exam that summer. On top of that, I had to complete a research project on a unique topic: financial planning for pet owners.
I got to work. I passed the SIE, presented my project, and because I lived locally, they offered me a part-time role through the school year. I accepted and began supporting the firm while continuing my education.
Series 7: The Setback
The next summer, I was offered the opportunity to sit for the Series 7 a rare opportunity for a college student. Typically, you need to be sponsored by a FINRA member firm, and that usually happens after you land a full time job. I had a unique setup through my RIA’s broker dealer relationship that allowed me to sit for it early.
But I wasn’t ready.
Before that summer, I had been away for four months at Basic Combat Training (a story for another time), and after coming back, I wanted to enjoy life a bit. I underestimated the work it would take. I studied, but not with the right discipline and I failed.
That hit hard.
It forced me to reflect honestly: I didn’t give it the focus or effort it required. But I was fortunate to get a second chance, and I didn’t waste it. I built a strict study schedule, tracked my metrics, listened to audio lessons daily, and studied with full intent. I balanced this with my first semester at Syracuse University working part time and passed on my second attempt.
Series 66: Applying the Formula
The following summer, I tackled the Series 66. This time, I had the formula: focused daily study, consistency, and intentional prep. It was still tough but much smoother because I knew what was required. I passed the Series 66 on the first try.
Lessons Learned
Here are a few takeaways that still guide me:
Don’t wait for luck. Create your own opportunities by getting involved, working hard, and keeping high ethical standards.
You’re going to fail sometimes. Use those moments as learning experiences. If you really want something, try again.
Be intentional. Have a clear plan and execute it with focus.
Maximize where you are. No matter what school or company you’re at, squeeze every drop of value from the opportunities available.
Be flexible. Life won’t always go to plan and that’s okay. Adapt and keep moving forward.
I hope this helped you in some way. Whether you're just starting or already on your path, let this be a reminder that you can do big things even before graduation. If you have any thoughts or advice, drop it in the comments I’d love to hear from you.
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