How to Get a Series 99 License

Securities Training Corporation has trained over a million experts in the financial industry since 1969. If you are ready to get your Series 99 license, our Series 99  program will help you pass with confidence.

Series 99 Requirements

  1. Step 1: Prepare for the Series 99 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 7 exam.
  3. Step 3: Find a member firm to sponsor you
    • To take the Series 99 exam, you must be associated with and sponsored by a member firm
  4. Step 4: Enroll in your FINRA Series 99 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 99 licensing exam
    • After you enroll 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 will also receive a printed copy of your score report
  6. Step 6: Pass your Series 99 exam and get your Series 99 license
    • You must pass both the Securities Industry Essentials (SIE) exam and the Series 99 exam to obtain the Operations Professional registration.
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Get your Series 99 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 99 licensing exams. STC’s series 99 exam pass rates are over 20% higher than the national average