Manager / Principal Courses

The Manager / Principal licensing exams allow an individual to supervise persons who recommend, sell, or trade securities; or to supervise back office and accounting functions. For most of these exams, a Registered Representative license is a prerequisite.

Only individuals who are sponsored by FINRA member firms can take these examinations. When placing an order, please specify your sponsoring firm.

Series 9 - Branch Manager - Options
The Series 9/10 exam is accepted by FINRA member firms to license branch managers to supervise branch activities. The prerequisite examination is the Series 7.
starting at
$150
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Series 10 - Branch Manager - Regulations
The Series 9/10 exam is accepted by FINRA member firms to license branch managers to supervise branch activities. The prerequisite examination is the Series 7.
starting at
$170
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Series 9/10 - Branch Manager - Options / Branch Manager - Regulations
The Series 9/10 exam is accepted by FINRA member firms to license branch managers to supervise branch activities. The prerequisite examination is the Series 7.
starting at
$220
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Series 24 - General Securities Principal
The Series 24 examination is required for all officers and supervisors of sales persons at FINRA "general securities" member firms. The prerequisite examination is the Series 7.
starting at
$195
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Series 51 - Municipal Fund Securities
Anyone who manages, directs or supervises activities in municipal fund securities (Section 529 Plans) must be licensed as either a Series 51 Limited Principal or Series 53 Municipal Securities Principal.
starting at
$85
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Series 53 - Municipal Securities
The Series 53 examination is required for any person supervising Municipal Securities Representatives (Series 52), or supervising specified municipal functions. The prerequisite exam is the Series 52 or Series 7.
starting at
$160
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Series 4 - Options
The Series 4 exam is required for all managers supervising options sales personnel or for individuals supervising options compliance. The prerequisite examination is the Series 7.
starting at
$160
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Series 26 - Investment Companies / Variable Annuities
The Series 26 examination is required for persons that will supervise Investment Company Products / Variable Contracts Representative (Series 6) individuals. The prerequisite license is the Series 6.
starting at
$135
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Series 27 - Financial and Operations
The Series 27 Financial and Operations Principal examination is required for the Chief Financial Officer of FINRA member firms and also for senior accounting staff personnel that prepare member firm financial reports. The Series 27 examination consists of 145 multiple choice questions to be completed in 3 1/2 hours. There is no prerequisite exam.
starting at
$195
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About Pass Perfect

Pass Perfect is a leading developer of targeted, effective training programs for Series 7 and other FINRA and NASAA securities licensing exams.

Our level of experience and expertise is unmatched. Over the last 30 years we have successfully trained over 1,000,000 individuals for these exams.

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