How to Get Your Series 9 License

Securities Training Corporation has trained over a million experts in the financial industry since 1969. If you are ready to get your Series 9 license, our Series 9 program will help you pass with confidence.

Series 9 License Requirements

  1. Step 1: Prepare for the Series 9 license with STC exam prep.
    • Gain access to practice exams, flashcards, instructor hotline and more
  2. Step 2: You must be age 18 or older to sit for the Series 9 exam.
  3. Step 3: Find a member firm to sponsor you
    • To take the Series 9 exam, you must be associated with and sponsored by a member firm
  4. Step 4: Enroll in your FINRA Series 9 exam
    • Upon receipt of candidate eligibility information from your sponsoring organization, FINRA will email you enrollment instructions
    • After you enroll, you will have a 120-day window to schedule your exam at a Prometric test center
    • You can find more enrollment info on the FINRA website
  5. Step 5: Schedule your Series 9 exam
    • After you are enrolled to take the exam, you have 120 days to schedule and take the exam at a Prometric test center
    • You can schedule your exam at or by calling their Contact Center at (800) 578-6273
    • Be sure to review your exam confirmation email for your exam-day details
    • Arrive 30 minutes before your scheduled exam
    • You can schedule your exam at or by calling their Contact Center at (800) 578-6273
    • Bring a valid, government-issued ID, such as an unexpired driver's license, passport or military ID
    • If your test was completed on a computer, you'll get your results once you complete the exam
    • You will also receive a printed copy of your score report
  6. Step 6: Pass your Series 9 exam and get your Series 7 license
    • The Series 9 and Series 10 exams are typically taken together. In addition to the Series 9 and 10 exams, you must also pass the SIE exam and the Series 7 exam to hold the General Securities Sales Supervisor registration.
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Get your Series 9 License with STC:

Over 1,000,000 people have used STC to pass their securities licensing exams. For 50 years STC has helped many students prepare for their series 9 licensing exams. STC’s series 9 exam pass rates are over 20% higher than the national average