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Series 99 Tutoring


A private tutor may be exactly what you need to help you pass the Series 99 exam. A skilled Series 99 tutor can make a large impact on your mastery of the Series 99 material in a relatively short period of time. Private tutoring is most effective when preparing for the Series 99 exam under the following scenarios:

  • You have prepared for the Series 99 exam by reading the textbook fully, taken a large number of Series 99 practice exams and are having trouble mastering the information or are facing challenges applying the knowledge required by the Series 99 exam, or
  • In addition to the Series 99 exam preparation detailed above you have taken the Series 99 exam and did not pass the test and you are scheduled to retake the Series 99 exam in the next few weeks, or
  • You're a industry veteran who is now being required to become registered and have a very limited amount of time to prepare for the Series 99 exam.

It Makes a Difference

Working one on one with a Series 99 tutor just prior to taking your Series 99 exam can make all the difference in the world. A Series 99 tutor will make sure you are focused, have mastered the Series 99 material and are confident in the application of the knowledge during your Series 99 exam. For Series 99 candidates who are getting ready to take the Series 99 exam for the first time or who have taken the Series 99 exam and missed passing the exam by 1 - 12 points, 4 - 8 hours of tutoring are usually enough to ensure you pass the Series 99 exam.

Tutoring Case Study Number 1

A recent Series 99 candidate who was being appointed as back office manager would now meet the definition of a covered person for a large broker dealer and would be supervising employees performing covered functions. This candidate had read the Series 99 textbook cover to cover and had taken over twenty practice finals preparing for the Series 99 exam. His average score on his practice tests were in the low 60s and he was concerned that he was not ready to pass the actual Series 99 exam.

Solution

One of our Series 99 instructors who has extensive knowledge of broker dealer operations followed up with the Series 99 candidate and discussed a potential study plan. The instructor reviewed the candidate's exam results and discussed their background with them. It became clear that the Series 99 exam was becoming more difficult for this candidate as the result of test anxiety and reading too far into the questions. A test taker can often find it challenging to identify what the key to a question is and can sometimes miss a question because they read past what the question is asking. Our instructor spent a total of three hours virtually tutoring this Series 99 candidate focusing on these key areas, building his confidence, teaching him how identify the keys to the questions and how to answer the questions on the Series 99 exam. After three hours the Series 99 candidate had become more focused and confident and had all the knowledge required. He easily passed the Series 99 the following week.

Tutoring Case Study Number 2

This Series 99 candidate had failed the exam by more than 10 point and her co worker had failed the Series 99 exam by 14 points. Working at a smaller but well established firm they were two of five people who met the definition of covered persons and were performing covered functions. These two candidates each needed to do a lot of work to pass the Series 99 exam and needed a tutor to guide both of them though their Series 99 exam prep.

Solution

One of our Series 99 tutors who has been our lead instructor for the Series 99 exam held a conference call with the candidates to develop their Series 99 training. After speaking with the candidates and evaluating their test scores there seemed to be a lack of focus and numerous conceptual challenges for both candidates. Six three hour training sessions were scheduled at the clients' location. Chapter readings and chapter tests were reviewed with our Series 99 tutor and a full Series 99 review class was conducted for both these candidates. Between the sessions phone calls were scheduled to review and to give the candidates the opportunity to ask questions. Keeping both these candidates focused and on track was one of the main goals of the tutor. Both candidates made significant progress during the six week training program. A final green light go-no-go exam was given to the candidates three days prior to retesting. Both candidates passed the green light exam and both passed the Series 99 exam.

Tutoring Case Study Number 3

This Series 99 candidate was changing jobs. He was leaving a position at a large broker dealer where he did not meet the definition of a covered person. He was taking a higher level job at a smaller broker dealer and would now be required to be registered. This Series 99 candidate was changing jobs and needed to pass the Series 99 exam while he was trying to transition his career . Finding the time to prepare for the Series 99 exam was one of the candidate's biggest challenges. It was crunch time. This Series 99 candidate had to start from the beginning and pass the Series 99 exam.

Solution

There is no way around reading the Series 99 textbook so we sent him the test for next day delivery. Our Series 99 tutor set up a 21 day study program designed to guide him though the textbook and chapter tests in the evenings and to take Series 99 practice tests on the weekends. Our Series 99 tutor worked closely with him during the first two weeks, speaking on the phone answering questions, reviewing his exam results and emailing back and forth. Our Series 99 tutor met with the candidate from 9AM-5PM for two days conducting a comprehensive Series 99 exam review. The Series 99 tutor made sure that he had mastered the Series 99 concepts and was applying the knowledge effectively. The candidate passed the Series 99 exam the following day and is now enjoying his new career.

Series 99 tutoring needs to be a customized training solution based on the needs of the individual candidate to be effective. Each Series 99 candidate has their own areas of strength and of weakness. By identifying the weak areas, improving comprehension, and guiding the candidate though the exam process, a Series 99 tutor can help ensure you pass the Series 99 exam.