Series 99- Operations Professional
The Series 99 Operations Professional is for anyone in the FINRA list of "covered persons" that must be registered. These are essentially supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel are excluded from the requirement. Also remember that anyone who currently has a Series 6 or Series 7 license is grandfathered.

Available Materials:

Description: Series 99 Self Study Books
Price: $125

The Self Study program covers:


  • Securities
  • Markets and Financial Responsibilities
  • Customer Accounts
  • Professional Conduct


Four simulated Final Exams with detailed explanations complete the program.

(over 300 pages, with over 500 simulated examination questions with detailed explanations)

Description: Series 99 Exam Databank
Price: $75
Databank Version:

When used with our Self Study Books, the Series 99 Exam Databank is a convenient and effective method of testing overall comprehension of the material. Using the Databank software helps to ensure a full and complete understanding of the material by presenting practice questions of similar complexity to that of the real exam.

The program consists of 5 Final Exams drawn from the major topics found on the actual exam. Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

And is available in the following versions:       


        On-line - can be downloaded on up to 3 PC's (not apple/mac compatable)
        Web-Based - direct sign on into website from any device, is apple/mac compatable.
        CD-Rom - System requirements:

  •   3 MB of hard disk space
  •   Windows XP, Vista, 7 or 8

Description: Series 99 Bundle
Price: $150
Databank Version:

  •     Self Study Books
  •     Series 99 Exam Databank