Series 99 — Operations Professionals Exam
The FINRA Operations Professionals Exam (Series 99) measures the knowledge of entry-level registered representatives to perform their duties as operations professionals. Duties include client onboarding, financial control, stock loan/securities lending, and trade confirmation and account statements. To take the Series 99 exam, you must be employed and sponsored by a FINRA-member firm. You must also pass the co-requisite Securities Industry Essentials (SIE) exam to obtain the Series 99 qualification. Read more Series 99 FAQs.
Solomon Exam Prep’s innovative study system has helped thousands pass their securities exams. Explore Solomon’s Series 99 study materials below and get started on your path to becoming an Operations Professional!
QUICK LOOK:
- RECOMMENDED STUDY TIME: 60-80 hours
- EXAM LENGTH: 55 questions
- EXAM TIME: 1 hour & 30 minutes
- PASSING SCORE: 68%
- TAKING EXAM: Testing is done via Prometric
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MATERIALS
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Designed to work with the Solomon Series 99 Study Guide, the Solomon Series 99 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.
Sample a free demo of our Series 99 Online Exam Simulator here!
Designed to work with the Solomon Series 99 Study Guide, the Solomon Series 99 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.
The 180-day subscription to the Solomon Series 99 Exam Simulator offers:
• Over 1,100 original Series 99 practice questions with robust rationales which clearly explain why a specific answer is correct
• Questions updated continually to keep up with regulatory and industry changes
• Self-assessment tools that helps you identify areas that require more study.
• An unlimited number of 20-question quizzes based on Solomon Study Guide chapters
• An unlimited number of 55-question untimed practice exams with immediate answer feedback
• An unlimited number of 55-question timed practice exams
Exam simulator subscriptions are limited to one individual.
Sample a free demo of our Series 99 Online Exam Simulator here!
The Solomon Series 99 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 99 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.
To see a sample of the online Study Guide, click here.
The Solomon Series 99 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 99 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.
The Study Guide is available in your online Solomon account (this digital guide requires Internet connection and is not downloadable).
To see a sample of the online Study Guide, click here.
If you'd like a physical book, a hard copy upgrade is available (shipping & handling will apply) that contains the same content as the online version in your Solomon account.
To see a sample of the hard copy Study Guide, click here.
Please note: This sample of the hard copy is in PDF form to show the look of the hard copy only, but Solomon Study Guides are not available as PDFs.
The Solomon Series 99 Video Lecture highlights the most important and heavily-tested exam topics. Join Solomon Exam Prep professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 6-hour recorded course walks you through the most critical Series 99 concepts.
View a sample of the Video Lecture here.
The Solomon Series 99 Video Lecture highlights the most important and heavily-tested exam topics. Join Solomon Exam Prep professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 6-hour recorded course walks you through the most critical Series 99 concepts.
Lectures are peppered with practice questions to help you use what you are learning.
The Series 99 Video Lecture is available through the Solomon website and can be accessed via computer or mobile device. Video lecture subscriptions are for 180 days.
View a sample of the Video Lecture here.
I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.
Eric Cunningham PNC Pittsburgh, PA
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What does a Series 99 license allow me to do?
The FINRA Operations Professionals Exam (Series 99) measures the knowledge of entry-level registered representatives to perform their duties as operations professionals. Duties include client onboarding, financial control, stock loan/securities lending, and trade confirmation and account statements.
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Are there any prerequisites for the Series 99?
You will also be required to take the Securities Industry Essentials (SIE) exam, unless you have passed certain other licensing exams prior to October 1st, 2018.
If you need to take the SIE exam, check out Solomon Exam Prep SIE study materials.
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How long should I prepare for the Series 99 exam?
We recommend studying 60-80 hours over a four-week period.
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How do I prepare for the Series 99 exam?
Solomon offers a complete Series 99 study program, which includes digital Study Guide, Exam Simulator, and Video Lecture. Visit the Solomon Series 99 product page to learn more.
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