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Series 9

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Bundle with Series 10 and save up to $275!

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Series 9

The Series 9 exam — one of the General Securities Sales Supervisor Exams — assesses the competency of an entry-level principal, including approval of customer accounts, training of personnel, and maintenance of records.

Visit FINRA for more info

60 Questions

Multiple Choice

1h 30m

Duration

70%

Min Passing Score

70% - 75%

Average Passing Rate

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Requisites

Prerequisites

  • SIE
  • Series 7

Corequisites

  • Series 10

Topics

  • Supervision of customer options accounts
  • Options sales activities
  • Options advertisements
  • Management of associated persons

Retake Wait Periods

You may take the Series 9 exam as many times as it takes to pass. Note there is a 30-day waiting period after your first and second failed attempt, and a 6-month waiting period after the third failed attempt and beyond. The $130 exam fee applies each time you take the test.

What’s Next

After passing the Series 9 an individual may function as a General Securities Sales Supervisor provided they have also passed the co-requisite Series 10 Exam.

Prep Packages

Be confident, fully prepared, and ready to pass.

Even for solid test-takers, Series 9 — like many exams — will try to stump you on the question language or format. Depending on your learning style, you need prep options that will leave you confident, ready, and unsurprised on exam day.

Best Value

Pass Promise

Our best value: A guaranteed pass, plus an instructor-led live virtual class for your review.

$

390

Course access is for 7 months from the date of purchase

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Features

Pass Plus Pro

Want to supplement your studies? Get a few helpful extras, like on-demand instructional videos.

$

338

Course access is for 7 months from the date of purchase

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Features

Pass Plus

If you thrive as an independent learner, this self-study package has the essentials you need.

$

286

Course access is for 7 months from the date of purchase

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Features

Looking for Study Aids?

We offer resources and materials to help get you prepped and confident.

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With Us You Can

Study Smarter

Retention Over Memorization

We’ll provide you with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.

View Sample Questions

Shorten Your Study Time

Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.

Customize Your Studies

Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.

Virtual, Online Classes

Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.

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Course Material

Your Ultimate Resource

We have created the ultimate resource to help ensure you pass — the first time. Developed by experts in FINRA licensing, our coursework incorporates everything you need to know to successfully take this important step in advancing your career.

Multi-level Assessments

Includes Quick Quizzes at the topic level.

Chapter Video Lectures

Created by expert Instructors, aligned with the book’s content.

Animated Videos

Reinforcing key concepts and test-taking strategies with simulated exam questions.

Scored and Graded Assessments

Check Your Understanding, Chapter Exams, Mid-Term Exams, and Fixed Final Exams.

Clear and concise course material

Increased efficiency in learning, allowing more time for Final Practice Exams.

Intuitive & Modern User Interface

Our LMS allows you to engage easily and keep careful track of your progress, so you can focus on learning.

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FAQs

After passing the Series 9 an individual may function as a General Securities Sales Supervisor provided they have also passed the co-requisite Series 10 Exam. For potential principals, branch office managers, and sales supervisors, the Series 9 exam is a great way to further your career.

The Series 9 exam does not expire unless you leave the employ of the member firm. There is a 2-year grace period — after the 2-year employment lapse, retesting is required.

Not everyone can take the Series 9 — sponsorship from a FINRA member firm is required, meaning a candidate must first be hired by a FINRA member firm

Yes, SIE and Series 7 are prerequisites for the Series 9 exam. Series 10 is a co-requisite of the Series 9 exam.

Yes, the testing center will provide students with a calculator, if needed.

You cannot bring in anything with you to take the Series 9 exam. No pen, pencil, calculator, cell phone, smart watch, or paper. Everything is prohibited.

You may take the Series 9 exam as many times as it takes to pass. Note there is a 30-day waiting period after your first and second failed attempt, and a 6-month waiting period after the third failed attempt and beyond. The $80 exam fee applies each time you take the test.

Though many students prefer to take the test separately, and there is no guarantee that the testing center will have available slots on the same day, you can sit for both tests at one time.

Visit Finra.org to enroll for the Series 9 exam. The exam fee is $80, and a sponsoring FINRA member firm will need to handle the paperwork.

Yes. The Series 9 exam is harder due to more calculations, material that is more theoretical, and many students feel that the test is time-constrained.

The Series 9 exam has approximately a 70% pass rate.

The minimum passing score for the Series 9 exam is 70%.

The Series 9 exam consists of 55 graded multiple choice questions.

You will have 1 Hour and 30 Minutes to complete the Series 9 exam.

When preparing to take the Series 9 exam, you should plan to study for 25-35 hours. Typically, candidates study over the course of 2-3 weeks. The time you need to spend preparing for the exam varies depending on your familiarity with the material. Our adaptive preparation provides extra help where needed to make sure you spend your study time wisely and take the test with confidence.