Series 99 Exam Prep Products

Our Series 99 exam prep materials boast the highest pass rates in the industry and will guide you through your entire exam prep process. Our Wiley exam review guides are the very high quality you would expect from the world's largest publisher of financial information. Ensure you are ready to pass your Series 99 exam with our best in class Series 99 exam training materials.

  Note:  We are the authors of the Wiley exam prep products so you are buying directly from the source! Got any questions? We would love to talk.


Series 99 Study Textbook

Series 99 Exam Textbook

Paperback     432 pages    245 test questions    Published February 2017

The go to guide to acing the Series 99 exam - Our Series 99 textbook is designed to guide you through your entire study process and to get you ready to pass the Series 99 exam. The Series 99 textbook is packed with test tips, Series 99 sample questions and all the must know information you need to pass your exam. Our Series 99 textbook has been developed in partnership with John Wiley and Sons to ensure you have the absolute best Series 99 material.

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Series 99 Exam Online Prep Software

Series 99 Exam Prep Software

Over 1000 questions    Works with all major browsers and mobile devices

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 99 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 99 exam.

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Series 99 Online Video Class

Series 99 Online Video Class

24 x 7 access for 6 months    Fully interactive

Our all new series 99 video class is hands down the best series 99 online class in the market today.
Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight
test points for easy note taking. This video class walks you through all of the topics you need to know
to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all of the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 99 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 99 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 99 video features include:

  • 1) 13 hours of HD video broken into 11 sections
  • 2) Over 4 hours on brokerage office procedures, back office operations and rules and regulations
  • 3) Our videos are accessible on all devices ( all computers, phones and tablets)
  • 4) Our series 99 video class contains new test tips and details exactly what topics are being tested and how they are being tested
  • 5) Our series 99 video course follows our books chapter by chapter and topic by topic
  • 6) 11 Chapter Tests
  • 7) Instant unlimited access 24X7 for 6 months

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Get Videos and Exam Prep Software: 124.99 Buy Now

Series 99 Mobile Ebook

IOS     Android     Kindle FIRE HD     Kindle FIRE HDX     Nook HD     Nook HD +

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 99 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 99 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach.

If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders.

Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

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Save Money!

Combination Package

All of our combination packages are discounted. Check out the prices! Purchase one of the following combination packages if you are really serious about passing your exam in the quickest possible time.

Combo #1: Series 99 Textbook & Exam Prep Software

Purchase both the Textbook and Exam Prep software - all in one package. This is one of our more popular deals and includes:

  • Series 99 Textbook
  • Series 99 Practice Exam Software
  • Free Shipping
Only 124.95    Buy Now

Combo #2: Series 99 Complete Self Study Solution

The whole shebang! Purchase all the Series 99 products in one package and save big. If you are serious about passing the Series 99 exam, then this package is for you. It includes ALL of the following exam preparation products:

  • Series 99 Textbook
  • Series 99 Practice Exam Software
  • Series 99 Online Video Class
  • Series 99 Ebook
  • Free Shipping
Only 200.00    Buy Now

Series 99 License Frequently asked questions / FAQs


1) Why should I get a series 99 license?


Most candidates seek to obtain a series 99 license because they are being required to do so by their firm. You can think of the series 99 as your license to become an operations professional. The series 99 license qualifies an induvial to perform a variety of covered functions at their employing broker dealer. Most people obtain the series 99 license when entering the operations department for the first time and are just starting out in a new career. Others, are perhaps changing positions within their operations department and will now be performing duties that requires them to become 99 licensed. A series 99 license is one way for a person to meet FINRA’s operations licensing requirement. Individuals will be notified by the firm’s compliance department, home office or HR directly or through their manager as to the time frame for taking the exam


2) What will I be able to do with a series 99 license?


FINRA sets the licensing requirements for member firms and its associated persons. FINRA has determined that persons who function in a covered capacity or who supervise persons who perform covered functions must become licensed as a series 99 operations professional . Obtaining a series 99 license will allow you to perform critical functions in a broker dealer’s operations department. Some of these covered functions include client on-boarding. In this role you will be the person who is collecting and inputting customer account data and may be responsible for the preparation of the account records and maintenance. A series 99 licensed person may also perform crucial settlement functions such as fail control, buy ins and sell outs and asset segregation duties. Margin, stock loan and prime brokerage are also key functions that can be performed at broker dealer by a series 99 licensed professional.


3) How hard is it to get a series 99 license?


The series 99 exam tests a number of complicated concepts that go far beyond general securities knowledge. Being able to work through the application of advanced operational and regulatory responsibilities will be key to a candidate’s success. Most individuals find that the exam is challenging in the way these questions are presented. You must be able to read the question and identify what the question is asking. This is absolutely key and it is not as easy as it sounds. If you are new to the industry or new to the operations department, you may find it hard to master the advanced concepts right away. In order to pass the exam and become series 99 licensed you must demonstrate that you have mastered these areas. Stick with it and stay focused on the concept until you have it down. Every person who sits for the series 99 exam has a different background. What one person finds easy to master, another may find very hard. Most people find the content relating to buy ins, sellouts, margin and settlement to be among the most difficult. You should prepare for the exam by reading a textbook completely with a highlighter. Take notes and work through the more difficult topics. Some of the question on the series 99 exam are hard but with careful preparation you will be successful. We cannot stress enough that you must read the book, there are no shortcuts and students need to understand this. You must clear your schedule, shut off your phone and focus. In addition to obtaining the knowledge required by the exam, you must master the application of the information by taking as many practice questions as you can. We recommend at least 60 – 70 hours of preparation to ensure you pass your series 99 exam and become licensed as an operations professional.


4) Is my series 99 license transferable?


The answer is, that while it feels like your series 99 license is indeed transferable, in actuality it is not. If you want to change firms, your series 99 registration / license along with all of your other registrations must be terminated by your employer. With a series 99 license you are working as an operations professional at a FINRA member firm. Since you are registered at a FINRA member firm, Your former employer / the firm that you are leaving will fill out and submit a Form U5 to FINRA. This will terminate your employment and your registration with that firm. When you arrive at your new firm you must fill out and submit a new Form U4. This will begin your registration with your new firm and your series 99 license, along with your other registrations, will become active at your new firm upon receiving notice from FINRA.


5) How much does it cost to get a series 99 license?


Obtaining a series 99 license is an investment in professional development. You will be required to invest your time and some candidates will be required to pay for the costs. Your series 99 license will qualify you to function as an operations professional of a FINRA member broker dealer. It does not qualify you as an agent. Many people who obtain a series 99 license enjoy long and successful careers as operations professionals. The good news is, for those who absorb the costs, they are relatively low when compared to other types of training, certification and college expenses. Some employers pick up or reimburse the costs of training and the testing and registration fees. Even for these people many obtain additional resources such as additional test questions, books or videos to ensure they pass their exam and become licensed. For those who have to pay all of the expenses out of pocket, it usually only costs a few hundred dollars for the testing fees and quality training materials. . You will find that obtaining a series 99 license opens many doors for you throughout your career. Man very senior people at large financial firms come from the operations side of the business.


6) What are the continuing education requirements once I have a series 99 license?


Once you have obtained your series 99 license you will be required to meet certain continuing educational requirements. Every year your firm will have you attend a seminar, webinar or take an online course to satisfy the firm element continuing education requirement. You will also be required to complete the regulatory continuing education requirement which is administered by FINRA. You will be required to complete this continuing education requirement by successfully completing the S901 course based on your date of association with a FINRA member. Your date of association for most people will be the date you passed your exam. You will be required to complete the S901 on the second anniversary of passing your exam and every three years thereafter. The S901 course may be completed at an approved facility or on FINRA’s continuing education portal.


7) Will I need to obtain any other license to be fully registered?


Your series 99 license allows you to register as an operations professional of a broker dealer. The series 99 by itself will not allow you to act as an agent or as a financial and operations principal. If you are going to act in roles other than that of an operation professional you may be required to pass additional licensing exams. Any additional licensing requirement will be based on the depth of the new duties you wish to take on. If you have expanded duties that require additional licensing your firm’s compliance department will notify you of your exam requirements. We hope that this answers many of your frequently asked questions about the series 99 license. If you have any additional questions please call or email us.


Good luck on your exam.


The Securities Institute of America, Inc.