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Series 9 / 10 Certification Career Paths

Pass Perfect certifications can help financial professionals deepen their understanding of their field and open up new career paths. This article will break down the series 9 and 10 certifications and provide more information about the general securities sale’s supervisor role and relevant positions in the finance field.

Series 9 is one of the General Securities Sales Supervisor Exams that assesses the competency of an entry-level principal, including approval of customer accounts, training of personnel, and maintenance of records. A Series 10 assesses the competency of an entry-level principal, including approval of customer accounts, training of personnel, and maintenance of records but on a more in-depth level. The series 9/10 qualifies an individual to supervise the sales activities of a broker-dealer. To take the 9/10 series, individuals must pass the series 7 prerequisite, which is sponsored by a FINRA firm. Below, we dive into some of the responsibilities of a general securities sale’s supervisor, salaries, tips for preparing for the exams, and next steps.


General Securities Sales Supervisor Job Responsibilities:

A General Securities Sales Supervisor has extensive knowledge in various areas of finance. Here are some of the significant areas that a person in this position may supervise:

    • Corporate securities, such as equity and debt.
    • Investment company products and variable contracts.
    • Municipal securities.
    • Options.
    • Government securities.
    • Direct participation programs, DPPs.

General Securities Sales Supervisor Job Titles and Salaries

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Salaries can vary depending on the role and responsibilities attached to the position. The average base salary for a General Securities Sales Supervisor is 75k per year. Below are General Securities Sales Supervisor - (FINRA Series 9 and 10) jobs by salary:

    • Compliance Officer: $52k-110k
    • Operations Manager: $49k-$89k
    • Compliance Director: $72k-$114k
    • Chief Compliance Officer: $99k-$147k
    • Director of Operations: $81k-$159k
    • Client Relationship Manager: $66k-$106k
    • Registered Client Service Associate: $54k-$72k

Tips for taking the Series 9 / 10 exams

One of the best ways you can ensure success is by taking the time to study and utilize the materials that are available to you. As the exam covers substantial information, studying 30-40 hours can help you retain and comprehend the material.

While taking the exam, it's beneficial to do the following:

1) Make sure to read each question completely before selecting an answer.
2) Identify what the question is asking.
3) Identify key phrases
4) Eliminate wrong answers
5) Be wary of changing answers

The following links can make the preparation process easier so you can go into the exam with confidence:


After the Series 9 / 10 (Series 24)

After completing Series 9/10, the next step is to focus on the Series 24 exam. The Series 24 exam assesses the competency of an entry-level principal to perform their job. It is administered by the Financial Industry Regulatory Authority (FINRA) and is required by FINRA and SEC. You can learn more about the series and how to prepare for the exam. This exam covers supervision of registration, investment banking, trading, customer accounts, and general broker-dealer activities. As it is a challenging exam, it's helpful to utilize a wide range of study materials, including videos and textbooks. Pass Perfect is here to provide the resources, tools, and exams to help individuals succeed in their careers.

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