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Best Series 99 Study Guides for 2024: Series 99 Guides Ranked


It’s important to invest in good Series 99 study guides if you’re going after your operations credentials. Besides, after taking the general SIE exam on finance fundamentals, you also have the opportunity to take a number of other “Series” exams in more specialized fields. So to work as an operations professional to onboard customers and manage the distribution of funds, you’ll also need to take and pass the FINRA Series 99 exam. Unless you already have significant professional experience, it’s a good idea to use a Series 99 study guide to help you prepare. Therefore, we’ll break down your options and give our recommendations for the best Series 99 study guides for your budget and learning style.

Best FINRA Series 99 Study Guides


Securities Institute of America

Securities Training Corporation ExamFX Knopman Marks




$130-$386 $99.95 $230


Access length

6 months

6 months 3 months Unknown

5 months

Test bank


Exams only Exams only

Practice exams


8 3 2



Print and digital

Print and digital Online learning portal Print and digital

Print and digital


13 hours

8 hours 6 hours

Live classes


Phone, email, and live chat

Phone and email



Free trial

Demo video

Training software

Demo video

Discount code PASS10 N/A icanpasscpa@examfx.com N/A N/A


Series 99 Review Courses

A good review course will have a solid textbook, at least one practice exam, and lots of Series 99 sample questions. You should also decide whether aspects like instructor support or a pass guarantee are important to you.

Securities Exam Prep

Securities Institute of America Series 99 Study Guides

The Securities Institute of America (SIA) is one of the foremost providers of review courses for professional securities exams. (For instance, SIA also makes the list of best Series 9 & 10 study guides  and the best SIE exam study materials, too.) You can purchase the Series 99 course by itself. Alternatively, you can bundle it with the SIE course for a discount.

Packages and Pricing

SIA offers three main packages, all of which come with 180 days of access. Firstly, the Textbook & Exam Prep package costs $124.95 and comes with a print textbook, shipped to you for free. You’ll also have access to the SIA online module with 1,200 practice questions and unlimited simulated final exams, which you can customize in many ways. There’s also a Greenlight Exam that gauges your readiness for the actual Series 99 test. If you pass it, you qualify for SIA’s money-back guarantee.

Secondly, the Complete Self-Study Solution sells for $200 and comes with everything in the basic package plus a digital textbook and personal study calendar. However, the most important addition is 13 hours of video lessons plus a video full of test-taking tips. If you want only the videos, a question bank, and practice exams, this Complete Video Package is available for $124.99. The textbook, qbank, and videos can also be purchased a la carte. Moreover, you can save 10% off your purchase with the Securities Institute discount code PASS10.


  • Most video content of any review course on our list
  • The free video demo allows you to sample course content
  • Highly customizable Series 99 practice exams


  • No individual tutoring or classroom-based instruction is available
  • Designed only for self-study

SIA is best for…

Overall, self-motivated students who learn best from video lectures will get the most out of SIA’s Series 99 study guides.

Securities Institute Discounts

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Use our exclusive Securities Institute Code to save on FINRA exam study materials.

Securities Institute Discount

Securities Training Corporation Series 99 Study Guides

Next, the Securities Training Corporation (STC) boasts that all of its courses across the board have a 95% pass rate. Additionally, the company offers a guarantee to back up this pass rate claim.

Packages and Pricing

Like SIA, STC offers three packages. The first, the Series 99 Top-Off Standard package, comes with both a digital and print study manual. You’ll have access to eight full-length Series 99 practice exams, plus a Crunch Time Facts quick review sheet. For support, you can call or email the Instructor Hotline. Moreover, the Standard package, like all of STC’s course offerings, comes with six months of access.

The Series 99 Top-Off Premier package represents a substantial jump in price. However, you’ll receive a number of additional study materials including eight hours of on-demand video lectures. You’ll take six progress exams as you work through the course content as well as a Greenlight exam when you’ve finished the material. You must have access to this exam to qualify for the STC pass guarantee, though, so be aware that the Top-Off Standard package doesn’t qualify.

Finally, the most comprehensive package is the Series 99 Top-Off Premier Plus, which comes with all of the above plus a live virtual or in-person class. This class is a one-time, eight-hour classroom experience, but you’ll also have access to a recorded virtual class. Although you can’t purchase access to the class separately, you can buy the video lectures or a set of flashcards.


  • Only course on our list with a live classroom component
  • Substantial video content
  • The largest number of Series 99 practice exams


  • The high price tag for Premier and Premier Plus packages
  • The standard package contains few materials

STC is best for…

In summary, candidates who learn best by having a teacher and the ability to ask questions will get the most benefit from STC’s Series 99 Top-Off Premier Plus package.

ExamFX Series 99 Study Guide

ExamFX backs up its Series 99 review course with a money-back guarantee. Basically, if you pass the Guarantee Exam but not the real exam, you can qualify for a refund.

Packages and Pricing

Although ExamFX offers only a single package, it costs only $99.95. With this purchase, you’ll have 90 days to access an online interactive learning portal that offers exam simulations, a readiness exam, and a Guarantee Exam. You can also request instructor support through the portal. However, the course is only available as a whole, so you can’t buy any materials a la carte. But you can save on the final purchase price by using our ExamFX discount code icanpasscpa@examfx.com.


  • Inexpensive yet complete exam review package
  • Clear money-back guarantee


  • Very limited information about course contents
  • Only 90 days of access

ExamFX is best for…

If budget is your primary concern but you need a fully interactive course, ExamFX may be what you need.

Knopman Marks Financial Training Series 99 Study Guide

Knopman Marks offers a number of financial training courses. Moreover, it claims that 95% of its students pass their exams on the first try.

Packages and Pricing

Although it offers only one course for $200, Knopman Marks’s Series 99 study guide comes complete with a print textbook and a digital ebook. Through the course’s Online Learning Center, you can download supplements like digital flashcards and access the virtual question bank. You’ll also have access to more than six hours of video content and a benchmark exam. Additionally, there’s a mobile app that allows you to study on the go. Also, you can receive support from the Client Success Team.


  • Mobile-friendly course materials
  • Free trial of Mobile Training Center
  • 95% pass rate


  • The length of access to study materials is unclear
  • No pass guarantee

Knopman Marks is best for…

If you plan to study on your commute, Knopman Marks allows you to download what you need onto your mobile device.

Kaplan Financial Education Series 99 Study Guide

Finally, offering study materials for a wide variety of professional exams, Kaplan Financial Education is one of the best-known names in the test prep industry.

Packages and Pricing

Both of Kaplan’s Series 99 study guide packages come with five months of access and the ability to purchase another five months. The Basic Self-Study Package costs only $79 and comes with a Series 99 License Exam Manual, both in print and digital versions. Through the online platform, you’ll have access to a customizable study calendar and performance tracker as you make your way through the practice quizzes in the SecuritiesPro Qbank. There’s also a full practice exam, as well as exam tips from experts.

Alternatively, the Essentials Self-Study Package costs $200. It includes all of the above plus checkpoint exams and a second full-length practice exam called a Mastery Exam. You’ll also receive access to Kaplan’s video library. Although you can’t buy access to the videos separately, you can purchase the License Exam Manual or the qbank on their own.


  • Offers two inexpensive courses
  • Performance tracker to gauge your exam readiness
  • Free demo videos of the study platform


  • The video library isn’t extensive enough to be a primary study source
  • No last-minute review materials

Kaplan is best for…

Students who like to create a plan for their study sessions and spread their studying out will get the most out of Kaplan’s calendar and performance tracker.

Taking the FINRA Series 99 Exam

Here’s what you need to know about taking and passing the Series 99 exam, also called the operations professionals exam.

What is a Series 99 license?

Having a Series 99 certification means that you have the required knowledge base to work in the field of finance as an operations professional. To receive it, you must pass both the general SIE exam and the more specialized Series 99 exam.

What’s on the Series 99 exam?

This 90-minute test consists of 50 scored multiple-choice questions. You must get 68% of the questions right to receive a passing score. FINRA also adds five unscored, unidentified pretest questions, so you’ll answer a total of 55 questions. However, you won’t know which ones are the unscored questions.

As for the information you need to know, FINRA releases an official Series 99 content outline to help guide your studies. About 70% of the questions will test you on your knowledge of broker-dealer operations and the securities industry. However, the remaining 30% will pertain to professional ethics.

Syllabus for FINRA Series 99 Exam

Here’s a summary of what topic will appear on the Series 99 exam.

Function 1: Knowledge Associated with the Securities Industry and Broker-Dealer Operations

  • Account opening and maintenance
  • Cashiering and account transfers
  • Custody and control of securities
  • Trade reporting and corrections
  • Margin and stock loan/securities lending
  • Settlement
  • Account statements and confirmations
  • Regulatory financial requirements and broker-dealers
  • Books and records

Function 2: Professional conduct and ethical considerations

  • Relationships and dealings with customers, vendors, and associated persons of the firm
  • Customer privacy
  • Importance of escalating complaints and/or potential red flags
  • Broker-dealer supervision and control

How do I take the Series 99 exam?

This is one professional test that you typically don’t apply for on your own. Because you need to be sponsored by a firm to take it, your firm will register on your behalf. It will usually also pay the $60 registration fee. However, you’ll be responsible for signing up for an actual time and date at a Prometric testing center. To do this, you’ll receive an email with a link to the scheduling site. You’ll also be given a 120-day window in which to take the test.

Can I take Series 99 before SIE?

The SIE and Series 99 test are co-requisites, which means you need both to receive a Series 99 license. However, you can take them in either order. Typically, candidates will take the SIE exam first because they don’t need the sponsorship of a firm and they can take it while still in school. If you take the SIE exam first, you will also need to take and pass the Series 99 exam within four years. Conversely, you can take the Series 99 test first if it fits your schedule better. Therefore, you’ll need the SIE exam dates to plan your overall schedule.


We find SIA’s three review packages to be the best Series 99 study guides. SIA offers the most video content as well as the possibility of unlimited simulated exams. Every package also comes with the company’s money-back guarantee. However, if your budget can’t accommodate it or if you learn best through other means, another one of the review courses on our list might meet your needs better. Three of the courses have free demonstrations or videos. Thus, taking a look at these might help you make up your mind.

Securities Institute Discounts

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Use our exclusive Securities Institute Code to save on FINRA exam study materials.

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