Looking for the best Series 9 and 10 study guides? After all, if you want to work as a supervisor of sales activities in a branch office, passing the Securities Industry Essentials (SIE) exam isn’t enough. You’ll also need to pass the Series 9 and Series 10 General Securities Sales Supervisor Qualification Exams, too. Although these exams don’t have a reputation for being terribly difficult, you should still use Series 9/10 study material to prepare. Therefore, we’re sharing our picks for the best prep courses for the FINRA Series 9/10 exams.
|Securities Institute of America||Securities Training Corp||ExamFX||Knopman Marks||Kaplan|
|Price per exam||$109-$279||$219.45-$517.28||$199.95-$309.95||$410-$510||$169-$449|
|Price for both 9 & 10||$279-$329||$671.52-$794.72||$459.95||$920||$409-$689|
|Availability||Separate or bundled||Separate||Separate or bundled||Separate||Separate or bundled|
|Textbook||Print and digital||Print and digital||Online learning portal||Print and digital||Print and digital|
|Videos||16 hours total||17.5 hours total||None||12+ hours total||Short videos plus on-demand class|
|Support||Phone, email, and chat||Instructor Hotline||Yes||Client Success Team||InstructorLink|
|Q bank||2,550 total||Exams only||Quizzes + exams only||Yes||Yes|
|Length of access||180 days/6 months||6 months||90 days/3 months||Unclear||5 months|
|Best feature||Video lectures||Live classes||Guarantee||Online Training Center||Performance tracker|
These five test prep companies provide recommended courses to study for the Series 9 and 10 exams. So if you’re looking for the right Series 9 and 10 study guides for your learning style, start with these courses.
The Securities Institute of America (SIA) creates exam prep products for all the Series exams and the CFA exam. Furthermore, SIA makes the list of best Series 99 prep materials and best SIE exam study materials, too. Overall, it receives our highest recommendation for its FINRA Series 9 and 10 study guides based on its value for money and an excellent guarantee.
SIA allows you to purchase just FINRA Series 9 books, Series 10 books, or all Series 9/10 materials together as a bundle. What’s more, each option has three packages: Textbook & Exam Prep Software, Complete Video Package, or Complete Self-Study Package.
The Textbook & Exam Prep Software package is the most basic option, and it gives you access to the following:
Additionally, SIA offers a Complete Video Package that doesn’t include a textbook. Instead, you’ll get 4 hours of video for the Series 9 course and 12 hours for the Series 10 course. You’ll also get a demo video and test tips video.
Finally, the Complete Self-Study Package comes with everything in the Textbook & Software and Video packages. It also adds an Exam Plan personal study calendar. And all packages come with six months of access, too.
Since there are so many options, here’s a simple chart to make pricing easier to visualize. Note that bundling the two courses together can save you $35-$99.
|Complete Self-Study||Video||Textbook & Software|
|Series 9 & 10||$329.00||$239.00||$279.00|
Firstly, SIA’s Complete Self-Study package offers excellent value for the money, considering the extensive video content and large test bank. However, no matter which package you pick, you’ll have access to SIA’s money-back guarantee with the Greenlight Exam. SIA is also clear about the company’s 90% pass rate and when the courses are updated. Finally, SIA does offer one-on-one tutoring, although it’s priced separately from these packages.
On the other hand, without paying extra for tutoring, it’s unclear how much live support you get. Email, phone, and live chat support are available, but SIA doesn’t specify if this support is for tech-related issues only or if users can chat with an exam content expert. Moreover, SIA does not have a free trial, so you can’t try out the SIA platform before buying the Series 9/10 study material. Regardless, these drawbacks don’t outweigh the benefits of SIA’s prep courses.
The Securities Training Corporation (STC) offers prep courses for professional financial exams as well as insurance licensing, professional development, and other courses.
STC offers three packages for Series 9 and Series 10 exams. Nevertheless, users don’t receive a pricing discount for buying both.
First, the Standard Package for both Series exams allows for self-studying. It includes:
If you need a little more help and want a money-back guarantee, you should look at STC’s Premier Package. It includes everything in the Standard Package plus the following:
Finally, the Premier Plus Package contains all of the above. You’ll also have access to a live classroom experience, either virtually or in person. For Series 9, for example, you can attend a one-day, 8.5-hour class. Alternatively, for Series 10, STC holds a two-day, 18-hour class. If you can’t attend, you can access a pre-recorded class, though. Like all the other packages, this one also comes with six months of access.
If you don’t want to purchase entire packages, STC sells some of its study materials a la carte. For instance, you can buy lecture videos, flashcards, and even live classes separately.
Most importantly, STC has the only Series 9 and 10 prep courses that offer live classes. If you learn best through classroom instruction, STC may have the right Series 9 and 10 study guides for you. You’ll also get the most video content of any course on our list. With the Premier and Premier Plus packages, you’ll also have access to STC’s Pass Guarantee.
Unfortunately, STC isn’t clear on some features of their course, including the number of practice exams. Furthermore, STC doesn’t clearly state whether their courses have a question bank separate from these exams. Additionally, as of 2022, the live classes all take place online. While this arrangement is fine for some students, others may find it more difficult to learn from online instruction, reducing the benefits of the live component. The live courses are also expensive, and there’s no discount for bundling the FINRA Series 9 and FINRA Series 10 classes.
Offering both securities and insurance exam prep products, ExamFX boasts an 87% pass rate from its students who have taken securities exams, including the Series 9/10 exams.
ExamFX only offers a single package for each exam and a combined package for Series 9 & 10. Basically, each package includes:
Each package also comes with 90 days of access to all Series 9 and 10 study guides. But still, ExamFX shares limited details about these materials, and they’re not available to purchase separately.
ExamFX’s study packages are reasonably priced, particularly the combination package. They all also feature a so-called “guarantee” exam. If you pass this exam with a score of at least 80% but don’t pass the actual exam, you can get your money back. ExamFX even has discounts for managers and participating organizations like AAA.
Regardless, ExamFX releases little information about what’s actually in these packages, and there’s no free trial to sample them. Additionally, you won’t have access to any video content. And furthermore, it’s unclear whether there’s a separate question bank or how large it is. If you’ve used ExamFX for other courses and liked it, you’ll have some idea of what you’re getting into. Otherwise, there’s not much information to go on. The access length is also half that of the other courses on our list.
Knopman Marks Financial Training focuses its prep course materials on securities industry exams. Knopman Marks get its textbooks, ebooks, and question banks from Kaplan, but the other Series 9/10 study materials are proprietary.
This company sells its Series 9 and Series 10 courses separately, and unfortunately, you don’t save any money by bundling them.
First of all, the Series 9 course costs $410 and includes the following:
Second, the Series 10 course comes with the same materials as the Series 10 content. However, the Series 10 course has over 10 hours of video and costs $510. In addition, it’s unclear how long you’ll have access to either course. But you can purchase a one-month or five-month extension to this access. Finally, you can purchase a replacement textbook as well, but none of the other materials are for sale a la carte.
Both courses come with plenty of study content, including lots of videos for Series 10. The company’s Online Training Center will keep you on track with your progress and keep you in touch with your support team. Knopman Marks even offers a free demo of the OTC, unlike most other companies, so you can see what you’re getting.
However, you’ll notice that the two courses together total over $900. As a result, this price tag makes Knopman Marks the most expensive provider of Series 9 and 10 study guides on our list. Despite the high price tag, Knopman Marks doesn’t have a guarantee. Moreover, it’s unclear how long you’ll have access to the materials. Finally, you won’t have as many practice exams as you get with some other courses.
Even if you haven’t started to study yet, you’ve probably heard of Kaplan from your college days. After all, Kaplan is a widely-known test prep company that makes courses for a number of standardized and professional exams, including finance exams.
Overall, Kaplan offers the greatest number of package options, including three tiers for Series 9, Series 10, and a FINRA Series 9/10 bundle. To make things a little easier, each tier includes the same basic materials for each exam. Thus, the Basic Package for all three options includes the following:
Clearly, this package is meant for self-study and offers the fewest study materials. But the Essential Package contains everything in the Basic Package as well as the following:
With the additional checkpoint and midterm tests, you’ll be better able to gauge your progress. Finally, the Premier Package is Kaplan’s most comprehensive offering. It includes everything in the Essentials Package plus the following:
Although the instructor-led class isn’t live, it does provide a final review before you take the actual exam.
Here’s how the pricing breaks down for each package. As you’ll see, you can save anywhere from $29 to $69 by bundling the two Series together.
|Series 9 & 10||$689||$599||$409|
You can also purchase the LEM, SecuritiesPro QBank, print or digital flashcards, or the QuickSheet review material separately.
Kaplan is a well-known brand with a good reputation. In fact, Knopman Marks also uses the Kaplan study books in its Series 9 and 10 study guides. With Kaplan, you’ll receive a wealth of study tools, and you have a lot of options depending on how much of a self-studier you are. For example, InstructorLink comes with the Premier package. With this feature, your questions are answered directly by content experts. Additionally, the online performance tracking software is great for measuring your progress through the material.
On the other hand, you have to purchase the most expensive package to access InstructorLink and the on-demand class. Furthermore, the Kaplan price is high. And what’s more, just like Knopman Marks, Kaplan doesn’t have a money-back guarantee if you study with them but don’t pass. As a result, you’re paying a bit of markup for the trusted Kaplan name. Moreover, the company has a bit of a reputation for offering confusing tech support with its products.
FINRA’s Series 9 and 10 are the General Securities Sales Supervisor Exams, preparing test-takers to perform duties like maintaining records, approving customer accounts, and training sales personnel. If you want to work as a general securities sales supervisor with a Series 9/10 license, you’ll also need to pass the general SIE and Series 7 exams. But you can take them in any order.
The Series 9 exam includes 55 graded questions and five unmarked pre-test questions that all must be completed in 90 minutes. To pass, you must score a 70% or higher. Ultimately, the Series 9 exam is generally considered the easier of the two exams because it covers less content.
Here are the four job functions covered in Series 9 and the number of questions about them:
The FINRA Series 10 difficulty level is a bit higher because it has a total of 155 questions – 145 scored, 10 unscored – taken over four hours. Once again, you must answer at least 70% of the questions right to pass. Here are the four job functions covered in FINRA Series 10 questions and the number of questions about them:
You can find the official FINRA.org Series 9 and 10 content outline here.
To take the Series 9 FINRA and Series 10 FINRA exams, you’ll need to be sponsored by a FINRA member or associated organization. Typically, your organization will enroll you and pay the testing fee. Next, the testing company Prometric will contact you about scheduling the tests. What’s more, you can take them on the same day or separately. And it doesn’t matter which you take first, either. However, you will need to pass them both within a time frame of two years.
Series 9 and 10 exams are offered only online and can be taken anywhere you can set up a computer with a digital camera. Several system requirements exist, though. So make sure your computer can run the testing software. In addition, proctors will need a 360-degree view of your workstation. As you might expect, you can’t have any Series 9 and 10 study guides around you. Also, the proctor will perform a visual check of your workstation before you start.
As for Series 9/10 difficulty, it’s usually said that Series 9 is relatively easy. Some blogs list both exams as medium difficulty.
Unfortunately, FINRA doesn’t publish these numbers. As a result, we don’t have an official Series 9 10 exam pass rate. Most test prep companies report that between 80% and 90% of their securities exam students pass the exam on their first try, though. And yet, these numbers are often self-reported.
Here’s what FINRA has to say about Series 24 vs 9/10:
The General Securities Sales Supervisor Exams (Series 9 and 10) are limited principal exams. They qualify an individual to supervise sales activities of a broker-dealer. The Series 9 and 10 qualify the branch manager to supervise sales activities in corporate securities (equity and debt), investment company products and variable contracts, municipal securities, options, government securities and direct participation programs (DPPs). The General Securities Sales Supervisor Exams do not allow the sales supervisor/branch manager to supervise other areas of a member’s securities business, such as underwriting, trading or overall firm compliance with financial responsibilities.
The Series 24 exam, on the other hand, qualifies a candidate as a general securities principal for FINRA. By passing the Series 24, the candidate can supervise all areas of the member’s investment banking and securities business, such as underwriting, trading and market making, advertising, or overall compliance with financial responsibilities. While the scope of the general securities principal’s supervisory authority is broader than the Series 9 and 10, the Series 24 is limited in the products that it covers. The general securities principal qualification does not cover municipal securities or options.
According to Payscale.com, the average Series 9/10 salary of a licensed general securities sales supervisor is $76,000 a year.
Wondering about how many hours to study for Series 9/10? For most securities licensing exams, about 20-50 hours of studying is recommended. However, this studying can be spread out over 3-6 months, depending on how long you have access to your Series 9 and 10 study guides.
If you want to work as a general securities sales supervisor, a FINRA Series 9 10 license is required. Any of the above best Series 9 and 10 study guides will help prepare you for the exams according to the Series 9 and FINRA Series 10 outline. Overall, you should choose one based on your budget and learning style. Our highest recommendation goes to SIA. But still, if video content is important to you, STC is also a good choice. Kaplan and Knopman Marks have the widest variety of study materials, and some can be used as supplements to other courses. Just make sure you plan enough study time to thoroughly prepare.