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Series 99 Training

How To Earn Your FINRA Series 99 License

If you are looking to enhance your career in the financial services industry, then you probably are wondering how to pass the Series 99 exam. How much do you need to study for it, what material is covered in the Series 99 exam, and what are some tips that will increase your chances of passing the Series 99 exam on your first try?

About The Series 99 License

The Series 99 license is known formally as the Operations Professional examination license and it is required of individuals who fall under the covered functions enumerated in FINRA Rule 1230(b)(6).

The Series 99 license attests to the the competency of an entry-level registered representative to perform their job as an operations professional. As a Series 99 Operations Professional you will be qualified to handle client on-boarding, financial control, receipt and delivery of securities and funds and account transfers, and collection, maintenance, reinvestment and disbursements of funds.

Please note that in order to earn your Series 99 license, you'll need to pass the Securities Industry Essentials (SIE) examination as well as the Series 99 Top-off exam. You won't need a sponsorship to take the SIE exam but to take the Series 99 exam, you must be sponsored by a FINRA member firm or another self-regulatory organization (SRO).

Bank Training Center provides insightful Series 99 exam preparation courses - such as Series 99 self-study packages to help you earn your Series 99 license.

About Your Series 99 Exam
  • Series 99 exam preparation is generally offered in a self-study, interactive format
  • Average preparation time for series 99 exam is 30-40 hours, plus additional time for Series 99 practice exams
  • Candidates are required to have a sponsor to be eligible to sit for the exam
  • Exams for your Series 99 license can be scheduled at any Prometric test center nationwide

Recommended Series 99 Courses & Available Training Options

To find training for earning your Series 99 license, including Series 99 exam preparation or Series 99 practice exams, simply click on any of the recommended courses below, or search under "Licensing" in the search box thereafter for "Series 99".

Good luck on your Series 99 exam!

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Series 99 Exam Requirements and Information

  • Number Of Questions: 50
  • Duration: 90 Minutes
  • Format: Multiple Choice
  • Passing Score: 68
  • Cost: $40
You must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take the Series 99 exam.

Series 99 Exam Outline

The FINRA Series 99 exam is broken into two major parts:
  • Knowledge Associated with the Securities Industry and Broker-dealer Operations
  • Professional Conduct and Ethical Considerations
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