Securities Industry Essentials Podcast Audio Lessons for the SIE Exam Preparation are now available for download!

SIE Exam

Mastering the SIE Exam: Your Comprehensive Guide to SIE Exam Preparation

Boost Your Finance Career with One of Our Two  Series of SIE Exam Audio Lessons for SIE Exam Preparation

Are you ready for the SIE Exam preparation in order to to elevate your career in the securities industry? The Securities Industry Essentials (SIE) Exam is your entry point into this exciting field. Introduced by FINRA in 2018, the SIE Exam is now a fundamental step for anyone looking to excel in the securities profession. Learn about the SIE Exam’s history, purpose, content, and preparation strategies, and discover how our SIE Exam audio lessons can help you succeed.

There Are Now Two SIE Audio Lesson Choices

The Original Securities Industry Essentials Exam Podcast, Audio Lessons for the SIE Exam 6th Edition is the most extensive and comprehensive series of audio lessons. This series of lessons consists of 60 lessons 37 hours 17 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam This series of lessons includes an extensive introduction to the industry with specific anecdotes about many of the topics which many find very helpful for remembering the topic matter. This series of lessons is slightly more expensive here is the LINK

Or if you just want the Bare Bones of needed information to prepare for the SIE exam you may want to choose the shorter and less expensive and also less extensive “SIE Exam Audio Lessons for the New Financial Professional” a dynamic and effective audio course tailored for new financial professionals. With 25 lessons of over 11 hours of expertly narrated instruction here is the LINK

The SIE Exam: A Key Milestone

The Financial Industry Regulatory Authority (FINRA) launched the SIE Exam to streamline the securities licensing process. Before the SIE Exam, candidates had to pass various role-specific exams, like the Series 7. The SIE Exam preparation audio course prepares you for the essential knowledge to take the one comprehensive test, setting a unified standard for entry-level professionals.

Why the SIE Exam is Important

The SIE Exam evaluates your understanding of critical securities industry concepts, regulations, and ethical practices. It aims to:

  • Standardize Licensing: Establish a consistent baseline of knowledge.
  • Assess Competency: Ensure proficiency in regulatory compliance, product understanding, and ethical considerations.
  • Promote Compliance: Demonstrate awareness of industry regulations and ethical standards.
  • Reduce Risk: Equip you with the knowledge to avoid misconduct and non-compliance.

Key Topics Covered in the SIE Exam

The SIE Exam covers a wide range of topics, including:

  • Capital Markets: Structure and functions of financial markets.
  • Regulatory Environment: Rules and agencies governing the industry.
  • Products and Risks: Different securities and investment products.
  • Trading and Accounts: Trade processes, margin requirements, and ethical standards.
  • Economic Factors: Macroeconomic indicators and financial statement analysis.

How to Prepare for the SIE Exam

To excel for the  SIE Exam preparation, adopt a disciplined and comprehensive study approach. Effective strategies include:

  • Utilize Study Materials: Access reputable SIE Exam preparation guides, textbooks, and online resources.
  • Interactive Learning: Engage with SIE Exam preparation lessons and multimedia resources.
  • Practice Exams: Familiarize yourself with the exam format and identify areas for improvement.
  • Stay Updated: Keep abreast of regulatory changes and industry trends.

Why Choose Our SIE Exam Audio Lessons?

Our SIE Exam preparation audio lessons offer a dynamic and flexible learning experience, ideal for fitting into your busy schedule. Here’s how our audio lessons can enhance your preparation:

  • Convenience: Study during commutes, workouts, or any downtime.
  • Reinforced Learning: Improve retention through repeated listening.
  • Interactive Experience: Engage with exercises and Quizzes.
  • Supplemental Resources: Complement traditional study materials for a well-rounded preparation.

Your Path to Success

At SIEpodcast.com, we are dedicated to helping aspiring financial professionals like you succeed in the SIE Exam. Our audio lessons cover critical topics, ensuring you’re thoroughly prepared to pass the SIE Exam and advance your career.

The SIE Exam is accessible to anyone aged 18 and above, regardless of association with a financial firm. This opens doors to a broader range of candidates, from students to career changers. Once you pass, your results are valid for four years, giving you ample time to plan your career steps.

Invest in Your Future Today

Join the ranks of successful candidates who have benefited from our comprehensive SIE Exam audio lessons. Enroll today and take a significant step towards securing your future in the securities industry.

Don’t wait—start your journey to success with SIEpodcast.com!

Read what our students say about our lessons!

SIE Exam
SIE Exam
SIE Exam

This is a link to the audio lesson covering the Outline of the SIE Exam

Try 5 free audio lessons for the SIE Exam free (click this link)

Here is what my customers say about my SIE Exam Audio Lessons

8/31/2019 From: M****** L*****, MD Subject: SIE Message Body: Hi Franz, Thanks so much for the phone call the other day really appreciate the connection. Wanted to let you know that I did passed the SIE exam this afternoon. I feel like I did fairly well although as you may know you only get find out the exact score when you don't pass. I did use the entire 105 minutes and was a great joy to get the pass certificate. Will have to say that one of the best part of the past 4 weeks of studying has been listening to your podcasts. I did not take a packaged course just studied the book, took some practice tests and listened to you seemed to be enough. My financial/capital market knowledge base was so low I really did have to do some intense studying, reminiscent of my old medical school days. During your call you mentioned …… the series 7 podcast via email. ….. I'm still looking to broaden my knowledge base. No doubt I will be wanting to dive into the sailing podcast in the not to distant future. So thanks again for everything and not sure if you are taking on new clients for a wrap account but please reach out if that is a possibility. Your biggest fan. Michael
Michael
MichaelMD
7/6/2019 Valricia B***** *******@ymail.com From Valricia Subject: I passed!!!!! I passed, best 100 dollars I ever spent!! Thank you so much!!!!
Valrica
Valrica
8/7/2019 E***** T****** e*********@gmail.com These audios are really great and helpful
ET
ET
Jordan B***** j********@gmail.com> 9/1/2019 If you are looking for a way to fit additional studying into your schedule, then the S.I.E. podcast is what you need in your playlist. The S.I.E. podcast has a ton of great content and provides immense insight to the securities industries. It is a great tool for anyone with a busy schedule. I did not use the S.I.E. podcast as a primary way to study. Rather, I used it as a supplement study aid to the material I was already reading. I would listen to the podcast while I was doing yard work, walking my dog, or exercising at the gym. There is a boatload of information to be learned before you take the Securities Essentials Exam and S.I.E. podcast is a GREAT way to help solidify the information into your brain. One thing in particular I really liked was the way Franz uses real-world examples to help portray the information. The one downside to the podcast is the price. But, if you are really trying to get into the securities industry, it is seriously well worth the money. There is literally SO much to be learned. I can honestly say, using the S.I.E. podcast to support the reading I was already doing helped me PASS the exam. Overall, Franz Amussen did a great job with the S.I.E podcast. Franz is also very professional and responsive if you try to contact him. If you are looking for an additional way to learn about the securities industry, then download this podcast NOW. If you study hard and listen to what Franz has to say in each lesson, every day -- you will do just fine come test day. Jordan
Jordan
From: Mark Javier Account Executive at Securitize - Digital Security Issuance Platform and Transfer Agent Via: Linked in December 10, 2019 I passed the Securities Industry Essentials (SIE) Exam today! Special thanks to Franz Amussen for making the SIE Podcast, Wiley Efficient Learning for producing such great test prep material, and my friend Mihai Dinulescu for studying with me. Thank you Franz Amussen! I really enjoyed listening to you describe the different concepts.
Mark JavierCEO
1/09/2020 Franz, I used your podcast to pass the SIE Exam. It was as though I could hear your voice guiding me through it. Think Yoda from Star Wars. 🙂 I was able to land a job at Merrill Lynch, I started two weeks ago. Thank you for taking the time to upload the content and serve the industry. Best, Dustin Bramkamp 513.5***-**** - direct b*******@gmail.com
Dustin Bramkamp
3/10/2020 Molly B***** m****b****@gmail.com----- I passed, I passed! I listened to the SIE lessons continuously for the last 3 weeks and am absolutely sure I would not have passed the exam on my first attempt without these audio lessons. Listening to Franz explain the concepts, with added anecdotes, definitely helped the material stick. I highly recommend these audio lessons, especially if you are new to the financial services industry and trying to pass the SIE without much background.
Molly from Colorado
5/11/2020 Hello Franz My name is Daisy. I just bought your SIE audio lesson in March 2020 and your Series 7 Top Off yesterday (May 10, 2020). My SIE exam date has always been pushed every month, and finally I got a seat. I continue to listen to SIE lessons every day, and they are helping me with drilling down the concepts. As soon as I finish my SIE exam, I will (of course, take a 1-2 day break) and start Series 7. Your audio lessons truly helped make learning the SIE very easy, especially when you give real world examples. The text books (even the online learning) can be so hard to follow, so I truly appreciate your efforts in the audio lessons. Daisy from Oklahoma Sent from my iPhone
DaisyFrom Oklahoma
7/18/2020 mohammed-******@att.net Hi Franz, I am on Lesson #23 of SIE. i am glad I bought your audio podcast. I started with Kaplan. I bought the book. Studied for couple of months. Had I not bought your podcast, I would have definitely failed. I am yet to take the exam. I am an engineer, with math and science. It is like learning ABC's again. Only God knows. Thank you anyway. Mohammed
Mohammed H
Mohammed HStudent
12/28/2020 Franz, Just wanted to say thank you! After months of studying and purchasing your SIE podcasts I successfully passed my SIE exam this afternoon! This was my second time taking the test, but the first time using your podcasts! They were fantastic Franz, and were a great addition to my Kaplan book. I especially got great value out of your sections in fixed income and mutual funds. I thought your fixed income lessons honestly got me my passing grade (I received a 66% the first time around). Looking forward to using your series 66 and eventually series 7 podcasts here in the future! Your podcasts are amazing!!! Again thank you so much!! Sincerely, Geoffrey
Geoffrey
3/19/2021 Franz, Time for a quick story? I began working as an assistant for Raymond James 5 years ago. After my FA left, I became determined to become licensed. Enter Franz's podcast! You drove with me on my commute everyday for months and taught me the SIE and Series 7, which I have now passed both! I will begin on the next Series very shortly. So that in itself is important, and I am thankful for your teaching style that allowed me to study during that time in my day. However, here's the cool part: RJ recently had a virtual conference and we were asked to write down the top 5 people who helped influence you to reach a goal. YOU, my friend, are who I thought of first! Hope you are healthy and happy during these times. Sincerely, K......
Karen P.Registered Rep
5/2/2021 Good morning Franz, I just wanted to let you know that I took and passed the SIE Exam yesterday. Your lessons were a huge help! I couldn't study at work, but I listened to your material on my way to and from work and on many stroller walks with my toddler. Supplementing my third party (Kaplan) study material with the SIE Podcast gave me enough confidence to bump my test date up 2 weeks! I appreciate all you're doing to educate people who are interested in making their way into the industry, and your personal phone call meant a lot to me. I hope you're having a great weekend. Looking forward to hearing your voice on the Series 7 Podcast which I will dive into after taking a few days off. Thanks again! - Jamison McAndie
Jameson McAndie
9/28/2021 Franz, Just wanted to say that these podcasts are great. I work in management consulting with a crazy schedule, so trying to find time to study for the SIE after a twelve hour day is extremely difficult. I started with a prep book, but I can only be locked inside working so many hours a day, so there have been many interruptions to the study process! Listening to these podcasts while working out has been a godsend, and I really enjoy the content and delivery. I’m able to optimize my time, and I’m finding the concepts are really sticking and building upon one another. I have an MBA so am familiar with some of the material and that has helped, but there’s a chasm between completing a couple finance classes and really learning to the depth and breadth of the exam. This has injected new life into my pursuit to better learn the financial services industry. Many thanks for this incredible product. Andrew H***** A******@gmail.com 703-***-****
Andrew H
12/4/2021 Hello Franz, I just passed the SIE. Thank you for your good work in recording these podcast. As I was taking the exam I heard your voice in my head on several of the questions providing the answer. 🙂 Blessings, Seth Jansen
Seth Jansen
1/19/2022 Hey Franz, I had already failed the SIE exam three times before I finally bit the bullet and bought your podcast, I can honestly say that your podcast, plus a little divine intervention, helped me over the edge to pass my security industries essentials exam. It was so convenient to be able to put it on my headphones while I was working, or driving, or even falling asleep a few times 🙂 . Now, I have my Series 63 top off exam scheduled for next Wednesday. Do you have anything available for that? I am in the state of Utah Matthew Jenkins Local Representative Horace Mann Companies
Mathew JenkinsLocal Rep
1/19/2022 From Mia Thank you!!! What an amazing human you are. Sent from my pay phone On Jan 18, 2022, at 4:29 PM, Franz Amussen wrote: Securities Industry Essentials Exam Podcast, Audio Lessons for the SIE Exam 3nd Edition - updated! I added a new short (7 + minutes) lesson 10.1 to the fixed income section of the lessons. This lesson discusses the transition from LIBOR to SOFR which occurred on December 31, 2021 YOU NEED TO KNOW THIS INFORMATION FOR THE NEW SIE EXAM!!!! So the new updated SIE Exam 4nd Edition Is yours for free. Best of luck in your studies. Franz Amussen I want to thank you for being a customer if you have any thoughts or comments please email me at
Mia
On Jul 26, 2022, at 2:25 PM, michael g wrote: Hi Franz, My apologies -- I thought this email was in my other account and lost track of it. I'm pleased to say I passed the SIE on my first try and without too much difficulty thanks to your podcast and my books and some additional youtube. This is my second financial career after early internship experience and then entering the job market in 2009 and pivoting. Wound up in media corp dev / CVC with operating experience as well, now looking to expand my TMT consulting practice with deal exposure via 82 & 79 licenses for now. If I get back around to the 7 I will look for your course and same with the 63 not far out. I began listening to your content on youtube and then listened through the gumroad app -- mostly when I was in the car, sometimes at my desk at home. Maybe I should have used the kindle integration because I couldn't figure out 1.5x speed which I sometimes prefer, especially upon review. Regardless it was very helpful and I passed. Freel free to give me a call tomorrow ********** if you still wish to connect. My gratitude, Michael Grotell
Michael GrotellCEO
8/10/2022 Hi Franz, Hope this email finds you well. I passed my SIE exam after taking a break during the great pandemic. Thank you for your podcasts it clarified more than SIE and I can now operate better at work. Regards Senthil.
Senthil
6/1/2023 from Logan K @gmail.com Thanks Franz! The SIE was easy after listening to your podcasts. I ended up getting a job in the industry working for some independent advisors and I am working on the Series 7 now.
Logan K
6/1/2023 From Kris C. Hi Franz Thank you for the update. The studying is going well. It’s a task finding time with my full time job on the Fire Department. However, listening to your podcasts to and from work has been very beneficial and a great use of my time. Thanks again Kris
Kris C.
7/26/2022 Hi Franz, My apologies -- I thought this email was in my other account and lost track of it. I'm pleased to say I passed the SIE on my first try and without too much difficulty thanks to your podcast and my books and some additional youtube. This is my second financial career after early internship experience and then entering the job market in 2009 and pivoting. Wound up in media corp dev / CVC with operating experience as well, now looking to expand my TMT consulting practice with deal exposure via 82 & 79 licenses for now. If I get back around to the 7 I will look for your course and same with the 63 not far out. I began listening to your content on youtube and then listened through the gumroad app -- mostly when I was in the car, sometimes at my desk at home. Maybe I should have used the kindle integration because I couldn't figure out 1.5x speed which I sometimes prefer, especially upon review. Regardless it was very helpful and I passed. Feel free to give me a call tomorrow 917******* if you still wish to connect. My gratitude, Michael G
Michael G.
5/17/2022 Hi Franz, I found that sponser I needed to go beyond my SIE which I passed Oct 2020. The firm wants me to pass the Series 65. I bought Pass Perfect this Winter and took my exam last week. Unfortunately I only scored 64%, not passing as you know. I want to try one more time and was looking at study aid options. Your material helped me pass my SIE and I was considering using your Series 65 supplemental study material. Cost is a factor and I was wondering if you had any specials running or discount codes for returning customer. Thank you, Brendan D.
Brendan D.
1/18/2022 Hey Franz, I had already failed the SIE exam three times before I finally bit the bullet and bought your podcast, I can honestly say that your podcast, plus a little divine intervention, helped me over the edge to pass my security industries essentials exam. It was so convenient to be able to put it on my headphones while I was working, or driving, or even falling asleep a few times 🙂 . Now, I have my Series 63 top off exam scheduled for next Wednesday. Do you have anything available for that? I am in the state of Utah Matthew J Local Representative Horace Mann Companies 3**-***-****
Mathew J.
September 27, 2023 Hi Franz, Just wanted to reach out and thank you for your podcasts (SIE and Top off 7). I just passed the Series 7 on Tuesday, and I am going to start studying for the 66 now. I couldn’t have done it without your podcasts! Regards, Logan K. (719)-***-**** logan.******r@gmail.com
Hi Franz, Hope this email finds you well. I passed my SIE exam after taking a break during the great pandemic. Thank you for your podcasts it clarified more than SIE and I can now operate better at work. Regards Senthil.
Senthil.
9/28/2023 Franz, I already bought the Series 66 lesson. I used the SEI and Series 7 podcasts to pass both of those exams, both on my first try. You’re welcome to use my testimonial on the website. I would add that the podcasts have been a great way to study for a new career (I used to be an Apache pilot in the Army, and I have no financial/econ background) while I am currently working full-time and my wife and I just had a baby last year. No way could I have prepared for the 7 with everything else going on in life. Thank you for the opportunities that you have afforded me and my family. Take care and thanks for all of the advice and wisdom you have sprinkled into you lessons. Regards, Logan Keller (719)-***-**** l**********@gmail.com
Logan Keller
2/28/2024 w*****v*****@gmail.com Hi, Today I passed my SIE Exam with the help of Franz's audible review. You see, I grew up on a construction site digging ditches and remodeling old bathrooms with my dad. We didn't talk about stocks, bonds, or any type of investments. An investment for us was getting a new compressor or nail gun. So when I decided at age 42 to get into the world of investing, it wasn't just intimidating it felt like a whole new world of information that I am hearing about for the first time. Listening in on the audible lessons while going about my day helped immerse me into this world and become familiar with the vocabulary and concepts. Read the book for sure, but get this course as well and dive into the content to work towards your licensure. Josh
Josh
Hi Franz, I just wanted to let you know your SIE podcast helped me pass the test on the first try, and set the foundation for me to pass the 6 and finally the 63 on my first tries as well. Thanks for putting out a great program to supplement my study efforts. Don Ferlazzo Th Ferlazzo Agency Allstate Insurance
Don Ferlazzo
10/2024 I know that I understand your tone and learn well from your narrative. As for my testimonial: Franz got me though both my SIE and Series 65 with these podcasts. In addition to the materials that you study, this is a nice and calming way to effortlessly reinforce the material. When I went into my exams I felt very prepared and could hear his voice in my head as I was reading through the questions. I would recommend this podcast series! Rachel
Rachel A
1/6/2025 Dear Mr. Amussen, It is with sincere gratitude that I respond to your email and thank you for your audio course. As a recent purchaser and thorough and intent listener of the series, I would like to share with you that today - with your help - I passed the SIE Exam. I am a professional in a different industry. I registered for the SIE Exam to motivate me to learn more about the securities industry for my own personal edification. I purchased your audio course with the intent to use it as a starting point to become informed on the basics of the SIE Exam and the securities industry. I was delighted to find that not only did it provide that information but that it provided a systematic overview of the world of business as a whole. You are a most effective teacher. I now feel much more informed and conversant on these topics. Moreover, my interest has grown to learn even more about them. Apropos of the foregoing, I plan to register for the Series 65 Exam next to continue this education. My name is Daniel B***** but you may call me Dan. My direct mobile number is (651) 706-****. Feel free to contact me anytime, should you feel the inclination. Again, I thank you for your audio course. I look forward to listening to it again soon. Best, - Dan
Dan B*****

Here is what my customers say about my Series 7 Audio Lessons

From: Hayley D ***** [mailto:hayley*******@gmail.com] Sent: Monday, December 18, 2017 6:54 PM Subject: Thank you for your glorious podcast! Hi Franz, I’m studying for the series 7 while working a full time (12 hour/day) job, have a toddler at home and another kiddo on the way. As a supplemental tool as I drive between meetings in Los Angeles, it’s brilliant. I especially love the editorial commentary as it puts everything into perspective. I haven’t tried the videos or done any of the quizzes yet but I’m a big fan so far and just getting started. My test is January 27. Wish me luck! Any tips or additional feedback you have to share much appreciated. Your biggest fan, Hayley
tim*****@gmail.com wrote: Hi Franz, Thank you so much for the podcasts. I started out with the free ones and then ordered the package. This week I passed! I studied and read for a few months in between work and listened to your podcasts in my commute to work and anytime in the car. Two days leading up to the test I basically stopped working to study full time and the day before got a hotel room near the testing center and did practice tests all day and night. You state multiple times that your podcasts are not going to get you to pass alone but I am certain that they blessed me with the extra understanding and reinforcement that helped me pass! Best regards, Tim *****
kj*******@gmail.com Subject: Podcasts-Thank you! Message Body: Hi Franz, I wanted to say thank you for putting out your podcasts. I purchased the Series 7 about a year ago and the 63 about 4 or 5 months ago. I felt very comfortable going into the Series 7, which your podcasts laid a very solid foundation for me. The podcasts alone would not have allowed me to pass the exam (as you clearly point out several times in the podcast), but they got me about 70% there, and gave me the foundation I needed to pass my exams the first time. As for the Series 63- there's no doubt in my mind that I would have failed without your podcast. I listened to the podcast on the way down to my exams (about 3 hours), and thank goodness I did! I could hear your voice in my head as the questions popped up, which helped me pass the 63 on the first time as well. I am grateful that you took the time to put the podcast out, at a very reasonable rate. Thank you very much. Have a great day! Sincerely, Kevin ******
From: Kristie Vold****g <k******g@gmail.com> Subject: Thank you Message Body: I just wanted to thank you for putting this podcast out there. I passed my series 7 exam on the first attempt yesterday by listening to your podcasts while running and using the Kaplan product. Great job and THANK YOU!!
PASS SERIES 66 !! Hi Franz:: Good evening ............. Just to provide a little feedback from my exam that I passed this morning ( SERIES 66) I bought your Post Cast Series 63 and used it for the SERIES 66 exam. basically once again, I was able to answer questions directly from your Post Cast. You have a very good training material, just with a little more promotion more people will buy it Some suggestions: - Package a complete SERIES 66 Audio / Pod Cast ( Only One download for iPhone) - Keep using real examples, that makes more sense at the time of training. I am an Engineer willing to learn, I was always using logic and common sense to understand - Keep using your Dad and Mom example, probably the best part for me. We are not in this world without them!! .... and the example is real. ..... the competitor: 'Salomon' Pod Cast is a person reading a book like a computer. - Keep using your firm as a real example on registered Investment Advisor - Keep talking about general comments of the Investment history in USA. This is also part of the learning process to understand why the government implemented the laws and regulations I have requested 'English as a second language' option and NASAA was able to provide me an extra hour for the exam. I was able to complete it 40 minutes before the end of the time. My score was : 76 ( 75 Law and Regulations / 73 Client Investments / 75 Investment Vehicles / 100 Economic Factors) I work for Merrill Lynch here in Houston Texas and based on this experience I will promote your products to my coworkers. By driving back and forth from Home to the office, the Pod Cast was a perfect learning material. We use KAPLAN as a main standard training platform, it is fine but I was trying to use all the available resources. Thank you very much for your support! Regards, Luis
Hi Franz, No problem then, just wanted to make sure there was a site-wide outage (the whole gumroad system was down about a week ago). While I have you direct, I also want to take a moment to say thank you for putting this series together. I am primarily an auditory learner, and this has been incredibly helpful in learning/reinforcing this material. It is also great that you updated it for 2017, so again big thanks. -Dave
Hi Franz, No problem then, just wanted to make sure there was a site-wide outage (the whole gumroad system was down about a week ago). While I have you direct, I also want to take a moment to say thank you for putting this series together. I am primarily an auditory learner, and this has been incredibly helpful in learning/reinforcing this material. It is also great that you updated it for 2017, so again big thanks. -Dave
From: Luis --- <--@yahoo.com> Subject: Pass Series 7 !! Message Body: Hi Franz, I've listened to your Series 7 podcasts daily ( while driving my car to the office: Back and Fort) .......... Las week, I successfully have passed the SERIES 7 exam I would like to mention that I was able to answered some questions directly from the PodCast. The real examples help me a lot to understand the Financial environment and improved my learning process. Appreciate your support! Have a good week! Regards Luis
Hi Franz, I am growing by knowledge of Series 7 and 63 exams. Thank you for your podcasts. I would be happy to review the 63 podcasts. You are one of the best out there. Ian
Franz, I've been binge listening to your podcast and videos in preparation for the series 7 exam next Friday. Its been a good resource as I'm commuting back and forth to work and for extra learning on the go. I just looked up your profile to learn more about your background and discovered we share the same alma mater! I now live in Austin, TX, but I just finished an accounting degree at USU. Just wanted to reach out and say thank you for your content. Thanks, Mike
Hello Franz, I listened to your Series 7 podcasts daily and took the online quizzes and they helped me pass the 7. Would you make a few podcasts for the Series 24? Thank you, Susan
Greetings Franz! You'll be happy to know I took my test last week and got an 85% on the series 7. Thanks for all your help. I read The Buffett Way and halfway through The Intelligent Investor. Thanks for recommendations. Now onto the series 66 test on November 21st. Cheers! Eli
Thank you Franz. I do enjoy listening to these lessons while I drive. It is helping me get the background info so that when I have to take the course for work, I will be better prepared. thanks again. Catherine
Franz! I started studying for my 7 a year ago this week and used your podcasts along with my other study materials to help understand some topics better. They were extremely helpful and know they contributed to my passing score of 87. I recommend your podcast to all of our new hires. Thank you for these podcasts- seeing your email in my inbox gave me a touch of nostalgia, though I don't miss the studying! Cheers, Brian
I have listen to your podcast as I was making a career change from managerial food and beverage industry to financial industry. Two years later I find myself working for a large brokerage firm getting approval to take Series 7 test. Since my role doesn't require series 7, I have to self study after work and on weekends with little help but study book. Other people in my group are asking for material to supplement their reading and I mentioned your sight. I told them to listen to podcast on apple to see if it meets their standard and then go to site and buy the material. I was amazed that none of them are aware of your site. I find information so knowledgable such as the K1 Partnerships that is constant question from clients. I know my company has strict rules on social media and communications but I wanted to to tell you thank you for the material. I believe my way of saying thanks is spreading the word to make it worth all the time and effort you put into this site. Thank You Jerome PS. I also went to ski school, CU Boulder and stayed in Colorado
Subject: Series 66 Message Body: Purchased your series 7 podcast...VERY helpful. Please let me know if you have or know of similar podcast on series 66 and Series 24. Thank you Joe
Subject: Series 7 exam Message Body: Hello Franz, I just want to thank you for your podcasts. I purchased all 30 lessons to enhance my prep . I was recently successful in passing the series 7 exam. I work full time and have two children, and can't imagine passing without your podcasts. They were very comprehensive and well orgazinized. Thanks again! Beth
Subject: Series 7 Podcast Comment Message Body: This message is for Franz, I just had to take a second out of my incredibly busy schedule to say that I THOROUGHLY enjoy the podcasts! They are a TREMENDOUS help and I appreciate every second. Thank you for making this! Best, Hassan
Franz: I am in licensing through Waddell & Reed. They recommended The Keir Smart 7 course. I am struggling with “debt” (imagine that). I purchased your episodes 4-8 as supplemental info. I listened to a free podcast of yours and it was easy to understand. Your voice is quite calming. I look forward to providing some feedback to you on your tools. Thanks for taking the time to develop these podcasts. I hope they help. Bill
Hi Franz: I passed the Series 7 Exam on Friday with 92%. Thank you very much for providing the Podcasts and Videos both of which were very helpful in my studies. Best wishes, Christine
From: R. Keith -----, CFA Subject: Series 7 Podcasts - a very significant help Message Body: Franz, after 20 years on the "buy side" I have recently joined JP Morgan Securities and had to "re-take" the 7. I had it once in the '90s but could not keep it when I changed firms at some point in 2002. I do a significant amount of travel between Atlanta, Charleston SC, and Jacksonville FL, and found your podcasts to be tremendously helpful in my study process. Your approach and style is perfect for listening to these in the car as one travels. Length and content are excellent. I also took a Kaplan in class course and found the overlap between your podcasts and their focus to be significant. I gave the podcast a full 5-star rating on iTunes. I took the test Monday and made what I consider to be a "perfect score" - a 74! With 2 Finance degrees, an MBA and CFA, I know a bit about tests and can honestly tell you that rarely (less than 10% of the time) could I get the answer choices below 2 good answers. They have made it very tough. Thanks again for your efforts in putting this together. I have let my Compliance Head at JPM know how helpful the podcasts were so perhaps they will use you in the future. Regards, R. Keith -----,
From: Stephen---- Subject: Study materials... I've been listening to your podcasts and they are a great aid to me in studying for Series 7! I tend to learn by audio well, so I can study while I am washing the dishes or cleaning up the house. It's great! I just wish there were more podcasts out there like this. I plan to download the videos for free. I will pay you a donation as this has been infinitely valuable...after starting at Fidelity and getting paid (in a few weeks). Until then, things are a bit tight. Again, thanks! - Stephen
From: Naomi ----- Subject: Thank you for creating this I've been trying to study for this exam since June. I work with Wells Fargo Advisors and am expected to pass this exam to begin working more exclusively for one of my FAs as a partner. It has been so hard to find time to study and make progress. From June to December I was able to master Equities and have been stuck in Debt for a long time. I'm taking the chapter exams and can't pass with more than a 70% average and I need an 80% to move onto Options. I just found your product and am so looking forward to this style of learning. Just reading and testing wasn't giving me the actual, personal explanation of what is actually going on. I'm using the Series 7 material : Smart 7 Pass Perfect that my Company paid for. I just finished all your podcasts ending Debt and am moving on to the video series. I hope to take another exam after I go through your series and check my understanding. Wish me luck!! Thank you for not giving up!!! Naomi
From: Thomas ------ Subject: Thank you! Honestly, this is awesome. You put some time into this and I can only say thank you. It's wonderful to see people helping, just to help! Not looking to charge 500 bucks (STC..Kaplan..cough cough), but really just applying their talents and knowledge with good intentions of hoping it helps someone else down the road. The material is perfect. Being able to apply the concepts from the books to your site is beyond helpful. I'll be sure to share this with everyone who's taking the series 7. Thanks for being a good person, and a genius really. Have a good year!
From: Mark Javier Account Executive at Securitize - Digital Security Issuance Platform and Transfer Agent Via: Linked in December 10, 2019 I passed the Securities Industry Essentials (SIE) Exam today! Special thanks to Franz Amussen for making the SIE Podcast, Wiley Efficient Learning for producing such great test prep material, and my friend Mihai Dinulescu for studying with me. Thank you Franz Amussen! I really enjoyed listening to you describe the different concepts.
Mark Javier
Mark JavierCEO
1/09/2020 Franz, I used your podcast to pass the SIE Exam. It was as though I could hear your voice guiding me through it. Think Yoda from Star Wars. 🙂 I was able to land a job at Merrill Lynch, I started two weeks ago. Thank you for taking the time to upload the content and serve the industry. Best, Dustin Bramkamp 513.5***-**** - direct b*******@gmail.com
Dustin Bramkamp
3/15/2021 Franz, Listening to the Series 7 podcast definitely help me understand the information I was studying and added great value into preparing me to take the Series 7 exam and passing on the first attempt. Hopefully others will find the benefits of explaining the information and it’s application to the real world. Thanks for all you do! Allan H
Allan HPassed!
3/19/2021 Franz, Time for a quick story? I began working as an assistant for Raymond James 5 years ago. After my FA left, I became determined to become licensed. Enter Franz's podcast! You drove with me on my commute everyday for months and taught me the SIE and Series 7, which I have now passed both! I will begin on the next Series very shortly. So that in itself is important, and I am thankful for your teaching style that allowed me to study during that time in my day. However, here's the cool part: RJ recently had a virtual conference and we were asked to write down the top 5 people who helped influence you to reach a goal. YOU, my friend, are who I thought of first! Hope you are healthy and happy during these times. Sincerely, K......
Karen PetersRegistered Rep

Securities Industry Essentials Podcast Audio Lessons for the SIE Exam is now available for download!

Click for Current Price

Securities Industry Essentials Exam Podcast, Audio Lessons for the SIE Exam
Lesson Material 25 hours 25 min
Bonus Material 11 hours 52 Min
Total Course 37 hours 17 Min
73 Audio Files

Table of Contents

SIE Exam
Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam
Table of Contents
Title Min Sec
Lesson 1 Introduction to the securities industries essentials podcast 23 13
Lesson 2 Common Stock 35 20
Lesson 3 Preferred Stock 22 6
Lesson 4 Special Securities 14 30
Lesson 5 Fixed Income Part 1 23 18
Lesson 6 Fixed Income Part 2 41 22
Lesson 7 Fixed Income Part 3 40 33
Lesson 8 Municipal Debt Fixed Income Part 4 37 37
Lesson 9 Money Markets Fixed Income Part 5 20 38
Lesson 10 CDS-ARS-SP Fixed Income Part 6 27 26
Lesson 10.1 Transition from LIBOR to SOFR 7 30
Lesson 11 Options Part 1 24 24
Lesson 12 Options Part 2 21 2
Lesson 13 Options Part 3 18 27
Lesson 14 Options Part 4 20 37
Lesson 15 Options Part 5 30 2
Lesson 16 Options Part 6 23 46
Lesson 17 Investment Company Act of 1940 12 8
Lesson 18 Mutual Funds Part 1 28 54
Lesson 19 Mutual Funds Part 2 22 25
Lesson 20 Mutual Funds Part 3 29 17
Lesson 21 Unit Investment Trusts 27 1
Lesson 22 Annuities 23 32
Lesson 23 Securities Act of 1933 26 45
Lesson 24 Securities and Exchange Act of 1934 32 28
Lesson 25 Sarbanes-Oxley Act, Blue Sky Laws etc. 28 3
Lesson 26 FINRA Rules pt 1 30 19
Lesson 27 FINRA Rules pt 2 28 41
Lesson 28 Municipal Securities Rule making Board Rules MSRB 38 31
Lesson 29 Securities Trading Markets part 1 28 21
Lesson 30 Securities Trading Markets part 2 23 1
Lesson 31 Securities Trading Markets part 3 28 54
Lesson 32 Securities Trading Markets part 4 35 21
Lesson 33 Securities Trading Markets part 5 18 51
Lesson 34 Stock Fundamental Analysis pt. 1, Balance Sheet pt. 1 29 20
Lesson 35 Stock Fundamental Analysis pt. 2, Balance Sheet pt. 2 25 33
Lesson 36 Stock Fundamental Analysis pt. 3, Balance Sheet pt. 3 36 17
Lesson 37 Stock Fundamental Analysis pt 4, Income Statement part 1 32 32
Lesson 38 Stock Fundamental Analysis pt 5, Income Statement part 2 32 55
Lesson 39 Stock Fundamental Analysis pt 6, Income Statement part 3 28 33
Lesson 40 Stock Fundamental Analysis pt 7, Cash Flow Statement pt 1 16 8
Lesson 41 Stock Fundamental Analysis pt 8, Cash Flow Statement pt 2 23 29
Lesson 42 Stock Fundamental Analysis pt 9, Discounted Cash Flow 13 30
Lesson 43 Stock Fundamental Analysis pt 10, Ratio Analysis 14 49
Lesson 44 Technical Analysis 19 4
Lesson 45 Macro Economic Analysis 38 49
Lesson 46 Macro Economic and Portfolio Analysis 34 44
Lesson 47 Margins pt.1 27 6
Lesson 48 Margins pt.2 7 32
Lesson 49 SMA 15 21
Lesson 50 Underwriting 39 46
Lesson 51 REITS 20 47
Lesson 52 Partnerships 31 52
Lesson 53 FINRA Rules Review 27 14
Lesson 54 Yield Curve, Balance of Payments, Exchange Rates, Risk 32 10
Lesson 55 Product Specific Investment Risks 13 13
Lesson 56 529 Plans Local Government Investment Oiils ABLE accounts 14 25
Lesson 57 ETF and ETN, Stock Dividends Corporate Actions 21 56
Lesson 58 Customer accounts and registration AML rules 17 14
Lesson 59 SECURE Act and Accredited investors 18 16
Post Lesson Comments 4 45
SIE Exam Lesson Macrovoices Eurodollar University pt 1 47 35
SIE Exam Lesson Macrovoices Eurodollar University pt 2 41 39
SIE Exam Lesson Macrovoices Eurodollar University pt 3 43 39
SIE Exam Lesson Macrovoices Eurodollar University pt 4 54 12
SIE Exam Lesson Macrovoices Eurodollar University pt 5 16 9
SIE Exam Lesson Macrovoices Eurodollar University pt 6 9 24
SIE Exam Lesson Macrovoices Eurodollar University pt 7 14 0
SIE Exam Lesson Macrovoices Accredited Investor Academy pt 1 Private Banking 6 45
SIE Exam Lesson Macrovoices Accredited Investor Academy pt 2 Reinventing yourself 46 47
SIE Exam Lesson Macrovoices Accredited Investor Academy pt 3 Alternative Investment offering terms and fee structures Venture Capital, Private Equity 57 18
SIE Exam Lesson Macrovoices Accredited Investor Academy pt 3a Angel Investing 13 37
SIE Exam Lesson Macrovoices Accredited Investor Academy pt 4 Hedge Funds, Fund-of-Funds, Managed Commodity Futures and CTAs 5 34
Total 36 hours 35 Min
Lesson Material 25 hours 18 min
Bonus Material 11 hours 52 Min
Total Course 37 hours 17 Min
73 Audio Files

SIE Exam Audio Lessons for the New Financial Professional

Prepare to excel in the Securities Industry Essentials (SIE) Exam with SIE Exam Audio Lessons for the New Financial Professional—a dynamic and effective audio course tailored for new financial professionals. With over 11 hours of expertly narrated instruction, this course makes mastering the SIE content convenient, flexible, and impactful.

Why Audio Lessons Work

Research proves that audio learning offers unique advantages:

• 65% of people are auditory learners, meaning they retain information better when it’s heard rather than read.

• Audio learning improves memory retention by up to 50%, especially when combined with regular review.

• Studies show that learning through multiple senses—such as listening while taking notes—enhances understanding and recall by as much as 70%.

• Audio lessons let you learn on the go, boosting study time by turning everyday moments like commuting or exercising into productive sessions.

Comprehensive and Portable Exam Prep

This course includes 25 structured lessons that cover all essential exam topics:

• A complete introduction to the SIE exam structure and expectations.

• Detailed exploration of regulations, market participants, and economic factors.

• In-depth lessons on equity securities, debt instruments, corporate financing, and trading strategies.

• Practical coverage of packaged products, retirement plan regulations, and corporate actions.

Every lesson is professionally narrated and optimized to help you absorb and retain critical information for exam success.

Your Partner in Exam Success

Whether you’re starting your financial career or building foundational knowledge, SIE Exam Audio Lessons for the New Financial Professional is your ideal study companion. Benefit from the power of audio learning, maximize your study time, and gain the confidence to succeed on exam day.

Available now on Gumroad. Start listening and prepare for success!

SIE Exam Audio Lessons for the New Financial Professional

Table of Contents

SIE Exam Success Lesson 1: Intro to the SIE Exam (30:31)

SIE Exam Success Lesson 2: Regulation (25:17)

SIE Exam Success Lesson 3: Regulatory Legislation Part I (25:37)

SIE Exam Success Lesson 4: Regulatory Legislation Part II (25:40)

SIE Exam Success Lesson 5: Market Participants and Market Structure (25:39)

SIE Exam Success Lesson 6: Aspects of the Securities Industry (25:26)

SIE Exam Success Lesson 7: Understanding Economic Factors (25:02)

SIE Exam Success Lesson 8: The Federal Reserve and Monetary Policy (25:19)

SIE Exam Success Lesson 9: The Balance Sheet and Its Components (25:12)

SIE Exam Success Lesson 10: Types of Offerings (25:30)

SIE Exam Success Lesson 11: Exempt Securities (25:12)

SIE Exam Success Lesson 12: Understanding Equity Securities and Corporate Financing (25:10)

SIE Exam Success Lesson 13: An Overview of Stock Types and Regulations (25:36)

SIE Exam Success Lesson 14: Understanding Debt Instruments and Bond Market Dynamics (25:49)

SIE Exam Success Lesson 15: Debentures (25:48)

SIE Exam Success Lesson 16: Bonds and Securities (25:26)

SIE Exam Success Lesson 17: Municipal Bond Underwriting (25:36)

SIE Exam Success Lesson 18: Packaged Products (25:34)

SIE Exam Success Lesson 19: Understanding Mutual Funds and Related Concepts (31:59)

SIE Exam Success Lesson 20: Understanding Variable Contracts, Municipal Fund Securities, and Annuities (25:48)

SIE Exam Success Lesson 21: Understanding Limited Partnerships and Direct Participation Programs (25:22)

SIE Exam Success Lesson 22: Orders and Trading Strategies, Broker-Dealers, and Trading Mechanics (33:15)

SIE Exam Success Lesson 23: Understanding Corporate Actions and Their Impact (26:06)

SIE Exam Success Lesson 24: Regulations Affecting Retirement Plans (26:49)

SIE Exam Success Lesson 25: SRO Requirements for Associated Persons (29:01)

Over 11 Hours of audio instruction for the SIE Examination

Click for Current Price Button

Send me 5 Free Audio Lessons for the Securities Industry Essentials Exam

Try 5 of the 71 audio lessons that make up this 36 hour audio course to help prepare you for the SIE Exam and start preparing for a career in the Financial Services Industry



I want to listen to 5 FREE SIE exam Lessons