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Series 99 License

Searching for Series 99 Exam Prep Materials?

A Series 99 licence is typically used by Operations Professionals. The Series 99 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including client on-boarding; financial control; receipt and delivery of securities and funds and account transfers, and collection, maintenance, reinvestment and disbursements of funds.

How To Earn Your Series 99 License

To earn a Series 99 license, you are required to take both a Securities Industry Essentials (SIE) exam and a Series 99 Top Off exam. TrainingCenter provides online training courses, self-study courses, or in-person seminars for both SIE and the Series 99 license review courses so you can choose the method of study that will help you the most.

Regardless of the format you choose, you can be confident that our review packages will give you the knowledge and the skills you need to pass your exam on the first try.

About The SIE: Exam Requirements and Information

The SIE is an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices.

There are no pre-requisites to taking the Securities Industry Essentials Exam. The exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

About The Series 99: Exam Requirements and Information

The FINRA Series 99 Licensing exam tests your knowledge about debt for equity offerings through a private placement or public offering, advising or facilitating mergers or acquisitions, tender offers, financial restructurings, asset sales, divestitures, or other corporate reorganizations or business combination transactions.

Recommended Courses & Available Training Options

To find training for earning your Series 99 license, simply click on any of the recommended courses below, or search under "Licensing" in the search box thereafter for "Series 99". Good luck earning your license!

Recommended Training Courses:

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Books/CDs/Other Training Resources
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Looking For Other Securities Licensing Courses? AB Training Center offers a number of FINRA / securities licensing courses and/or information on successfully passing your exams, including:
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