If you're ready to move up into supervision of compliance, options trading, foreign exchange trading, and other responsibilities at your firm, you may benefit from talking to Varsity Tutors about Series 4 test preparation. Unlike other choices, we provide top-notch service b giving you a personalized Series 4 prep experience. You get to work directly with an expert who knows how to help you focus on the areas of the test that need the most attention. You can keep on reading below to learn more, or reach out to our Educational Directors to ask your own questions.
Since the Series 4 is in your sites, you've already got experience working through FINRA's exams. The Security Industry Essentials and Series 7 exams helped you demonstrate the skills you need to work in the industry as a trader, but now the stakes are higher. Series 4 test prep lets you focus on the regulatory compliance issues you need to think about, how to supervise others making trading decisions, and otherwise make sure your firm is taking the proper amount of risk the correct way. If you don't know exactly where you should be putting your efforts as you prepare for test day, Series 4 tutors can assess your understanding, identify gaps, and figure out your preferred learning style. Your Series 4 course instructor can then customize a study plan that ensures you're always making progress towards your goals.
Series 4 classes have a lot of material to cover. Here's a breakdown to the sections on the exam you can prepare for with Series 4 tutoring:
| Series 4 Section | Focus | # Questions |
| Section 1 | Supervise the Opening of New Options Accounts | 21 |
| Section 2 | Supervise Options Account Activities | 25 |
| Section 3 | Supervise General Options Trading | 30 |
| Section 4 | Supervise Options Communications | 9 |
| Section 5 | Implement Practices and Adhere to Regulatory Requirements | 12 |
| Section 6 | Supervise Associated Persons and Personnel Management Activities | 28 |
Besides covering topics on the exam, Series 4 test prep focuses on your test-taking skills as well. By building up your study skills, developing test-taking and time management strategies, and continually assessing your progress, your Series 4 test prep instructor can help you build confidence in your preparedness for exam day. Series 4 preparation adapts as sessions go on, so you can always work efficiently and effectively.
Another advantage of one-on-one Series 4 courses is that they can move at your pace. If you need to get some extra explanations on the library of regulations you need to make sure your team is complying with, a tutor is ready to accommodate that. You can move on to other topics when you're ready. In this sense, your Series 4 class is what you want it to be and how you want it to be, but with the insight of an accomplished private instructor.
When you contact Varsity Tutors to start Series 4 prep, you get convenience as well. We work hard to find you someone who can help you prepare for the exam at a time that can fit somewhere into your busy schedule. We also provide Series 4 test prep sessions online, so you can meet your tutor through the Live Learning Platform, an innovative tool that gives you a virtual whiteboard, video chat, and other amenities so you're working face to face in real time from anywhere with an Internet connection. Reach out to our Educational Directors to start your Series 4 prep today.
Michael: Series 4 test prep instructor
...risk reversals and many other strategies either on a held or not held basis. Held means I am given the price by the client to fill and not held means the order is at my discretion to pick the price. Here we traded large institutional size orders of every strategy for the banks client who are sophisticated hedge funds, asset managers and clients were desks in a bank who used me instead of their in-house...
Education & Certification
- Long Island University-C W Post Campus - Bachelor of Science, Finance
- CUNY Bernard M Baruch College - Master of Science, Finance
Subject Expertise
- Series 4
- Series 44 - NYSE Arca Options Market Maker Exam
- Series 55
- Series 3
- +14 subjects
Aaron: Series 4 test prep instructor
...and loved ones against unfortunate circumstances, help others as well as many other goals they have. I believe there is a right way to do business and I strive to help others in their efforts to do business the right way. My expertise started long ago when I received my Bachelor's in Finance from the University of Nebraska-Omaha. During that time, I obtained my Series 7 and 66 licenses. Shortly after obtaining those licenses, I...
Education & Certification
- University of Nebraska at Omaha - Bachelor of Science, Finance
- Kansas State University - Master of Science, Financial Planning
Subject Expertise
- Series 4
- Series 7
- Series 66
- Series 24
- +7 subjects
Education & Certification
- Saint Peters College - Bachelor of Science, Business Administration and Management
Subject Expertise
- Series 4
- Series 24
- Series 9
- Series 63
- +4 subjects
Daniel: Series 4 test prep instructor
I am a CPA with a background in teaching and tutoring. I can work with you on most finance, business, and accounting subjects. I help simplify the material and highlight the core lessons. I've been told it's very effective and helpful!
Education & Certification
- Malone University - Bachelor in Arts, Organizational Leadership
- Baldwin-Wallace College - Masters in Business Administration, Accounting
Subject Expertise
- Series 4
- FINRA - Financial Industry Regulatory Authority
- Series 66
- Series 6
- +25 subjects
Peter: Series 4 test prep instructor
...much money, if not more money than doctors and lawyers. You do not need a secondary degree, you just need to pass the tests. You would want me as at tutor mainly because of my experience. My expertise is in OPTIONS and MARGIN. I started a broker-dealer from scratch, was a manager of other reps, and was a producer. To see my career path including all the licenses I obtained, view me at Broker Check:...
Education & Certification
- Rensselaer Polytechnic Institute - Bachelor of Science, Materials Engineering
- California University of Pennsylvania - Master of Science, Mathematics and Statistics
Subject Expertise
- Series 4
- Series 28
- Series 53
- Series 86
- +42 subjects
James: Series 4 test prep instructor
...public and private, with responsibilities spanning the spectrum from executive administrative tasks to chairing Boards of Directors. I attended the University of Illinois where I earned a Bachelor's degree (in only 5 semesters) in Business Administration and graduated Summa Cum Laude (1978). During that time period I helped establish my first financial conglomerate, including a mutual fund, an NASD sales and investment advisory firm, and a transfer agent. In 1983, I earned a Master's in...
Education & Certification
- University of Illinois at Urbana-Champaign - Bachelor in Arts, Business, General
Subject Expertise
- Series 4
- FINRA - Financial Industry Regulatory Authority
- Series 24
- Insurance License
- +24 subjects
Jim: Series 4 test prep instructor
...good understanding of many different areas. I will do my best to help the student by simplifying the material and using everyday tasks as examples. Exams I have taken (and passed on the first try): Series 7 (General Securities), Series 24 (General Securities Principal), Series 4 (Registered Options Principal), Series 27 (Financial and Operations Principal), Series 53 (Municipal Securities Principal), Series 66 (Investment Advisor Representative) and PA Life and Health Insurance agent exam. My goal...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Finance
Subject Expertise
- Series 4
- Series 24
- Series 7
- Insurance License
- +16 subjects
Sakshi: Series 4 test prep instructor
...in Math, English, and Business accessible and engaging for my students. My teaching philosophy centers around fostering a collaborative and interactive learning environment, where I break down challenging topics using real-world examples and case-based learning. I believe in the power of personal finance education, helping students understand budgeting and investment to empower their decision-making. My passion for teaching is rooted in my love for learning and connecting with students, ensuring they not only grasp the...
Education & Certification
- Queen's University - Masters in Business Administration, Business, General
Subject Expertise
- Series 4
- Series 47 - Japanese Module of the General Securities Exam
- CAPM - Certified Associate in Project Management
- Series 14A - NYSE DMM Compliance Official Examination
- +498 subjects