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Series 9/10 Exam Prep

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Series 9/10  Exam Prep
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How To Earn Your Series 9/10 License

If you are looking to broaden your career in the financial services industry in management, then you probably are wondering how to pass the Series 9 and Series 10 exams. How much do you need to study for it, what material is covered in the Series 9/10 exam, and what are some tips that will increase your chances of obtaining the Series 9/10 license on your first try?

About Your Series 9/10 License

The Series 9 and 10 exams assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.

The Series 9 license covers options sales and trading, as well as regulation and administration. Series 10 represents a deeper dive into a similar but broader range of topics and requirements. In addition to branch office managers, regional and national sales managers may also register in this capacity.

Please note that in order to earn your Series 9/10 license, you'll need to hold your Series 7 license.

Bank Training Center provides numerous Series 9 and Series 10 Exam prep courses - such as Series 9 and Series 10 online courses, Series 9 and Series 10 self-study packages, and Series 9 and Series 10 webcasts - to help you pass your Series 9/10 exams and earn your Series 9/10 licenses.

About Your Series 9/10 Exam
  • Your pre-licensing exam prep can be taken via in-person seminar, online, self-study, or interactive formats
  • Recommended study time is 60 hours for the course materials, plus several additional hours to take the sample exam prep practice questions
  • Candidates are required to have a FINRA sponsor to be eligible to sit for the exam.
  • Exams for your Series 9 and Series 10 license can be scheduled at any Prometric test center nationwide

Recommended Series 9/10 Courses & Available Training Options

To find training for earning your Series 9 and Series 10 license, including Series 9 and Series 10 exam preparation or Series 9 and Series 10 practice exams, simply click on any of the recommended courses below, or search under "Licensing/Designations" in the search box thereafter for "Series 9 or Series 10".

Good luck on your Series 9 and Series 10 exams!

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Series 9/10  Exam Prep
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About The FINRA Series 9 & Series 10 Exams

The Series 9/10 License is broken into two parts. You may take the exams in any order and can decide whether to take them on the same day or different days.

Regardless of when each exam is completed, the General Securities Sales Supervisor registration will not be approved until the you pass both exams. Note that if both exams are not passed within two years of one another, the exam taken and passed will be invalidated.

Series 9 and 10 Exam Requirements and Information

Series 9:
  • Number of questions: 55
  • Duration: 90 minutes
  • Format: Multiple Choice
  • Passing Score: 70
Series 10:
  • Number of questions: 145
  • Duration: 240 minutes
  • Format: Multiple Choice
  • Passing Score: 70
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