Financial Services: Pre-licensure

This award is not eligible for Financial Aid

The Certificate of Completion (CCL) in Financial Services: Pre-licensure is designed to prepare students for the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE) Examination required for entry-level positions in the security industry.

This is a Fast Track Certificate, which can be completed in two semesters or less.

Details

Field of Interest
Business, Entrepreneurialism and Management
Degree Type
Certificate of Completion (CCL)
Academic Plan
Financial Services: Pre-licensure (CER)
Academic Plan Code
5931N
Total credits required
4
Catalog Year
2024-2025
Effective Term
Fall 2024
Notes

This program is not eligible for Title IV Federal Financial Aid.
Students must earn a grade of C or better in all courses within the program.

What You'll Learn
  • Evaluate professional behavior and ethical responsibilities in accordance with industry standards.
  • Describe the regulations, rules, and prohibitive actions related to the securities industry.
  • Identify trading mechanics and corporate actions.
  • Explain the purpose, registration, distribution, and filing requirements of various types of offerings.
  • Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals.
  • Demonstrate readiness for the FINRA Securities Industry Essentials (SIE) Examination.

Successful completion of this certificate may lead to employment in a variety of different occupations and industries. Below are examples of related occupations with associated Arizona-based wages* for this certificate. Education requirements vary for the occupations listed below, so you may need further education or degrees in order to qualify for some of these jobs and earn the related salaries. Please visit with an academic advisor and/or program director for additional information. You can click on any occupation to view the detail regarding education level, wages, and employment information.

Securities, Commodities, and Financial Services Sales Agents

$63,870

* Career and wage information provided by Pipeline AZ using data, reports, and forecasts which are generated using government data sources. Sources

Course Sequence by Term

The following is the suggested course sequence by term. Please keep in mind:

  • Students should meet with an academic advisor to develop an individual education plan that meets their academic and career goals. Use the Degree Progress Report Tool in your Student Center to manage your plan.
  • The course sequence is laid out by suggested term and may be affected when students enter the program at different times of the year.
  • Initial course placement is determined by current district placement measures and/or completion of 100-200 level course and/or program requirements.
  • Degree and transfer seeking students may be required to successfully complete a MCCCD First Year Experience Course (FYE) within the first two semesters at a MCCCD College. Courses include FYE101 and FYE103. Course offerings will vary by college. See an academic, program, or faculty advisor for details.

Part-time Sequence

Part-time status is 11 credit hours or less.

Term 1

A sequence of suggested courses that should be taken during Term 1
Course Number Course Name Requisites Notes Area Credits
GBS261 Investments I 3
GBS261LL Securities Industry Essentials (SIE) Exam Prep 1
Disclaimer

Students must earn a grade of C or better in all courses within the program.

Course Sequence total credits may differ from the program information located on the MCCCD curriculum website due to program and system design.

This certificate is not eligible for Title IV Federal Financial Aid.

View MCCCD’s official curriculum documentation for additional details regarding the requirements of this award (https://aztransmac2.asu.edu/cgi-bin/WebObjects/MCCCD.woa/wa/freeForm11?id=183191).

At Maricopa, we strive to provide you with accurate and current information about our degree and certificate offerings. Due to the dynamic nature of the curriculum process, course and program information is subject to change. As a result, the course list associated with this degree or certificate on this site does not represent a contract, nor does it guarantee course availability. If you are interested in pursuing this degree or certificate, we encourage you to meet with an advisor to discuss the requirements at your college for the appropriate catalog year.