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
...tracking error risk. I have a Masters degree from Baruch in Finance. What I could help a Varsity Tutors client understand is futures, equities and options, commodities especially energy both paper and physical usage, pricing and use in a strategy either for profit or hedging. Also, technical and quantitative analysis such as understanding graphing and more advanced tools such as moving averages, stochastic and market profile. Also, I can impart a trader's mentality outlook, having...
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 7
- Series 3
- +14 subjects

Aaron: Series 4 test prep instructor
...I enrolled at Kansas State University and earned a Master's degree in Personal Financial Planning. Recently, I've earned the Behavioral Financial Advisor (BFA) designation and the Retirement Income Certified Professional (RICP) designation. I've worked in several industry roles from client service, back office roles, compliance, management, personal advising and planning and retirement consulting. When I'm not focusing on my craft I enjoy spending time with my family and am an avid college and professional football...
Education & Certification
- University of Nebraska at Omaha - Bachelor of Science, Finance
- Kansas State University - Master of Science, Financial Planning
Subject Expertise
- Series 4
- Series 65
- CFP
- Series 7
- +7 subjects
Education & Certification
- Saint Peters College - Bachelor of Science, Business Administration and Management
Subject Expertise
- Series 4
- Series 9
- Series 10
- 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
- CPA
- ChFC - Chartered Financial Consultant
- +25 subjects

Peter: Series 4 test prep instructor
...big business we see today. My peers, other broker-dealers, had enough confidence in me to elect me to two different FINRA offices. One was regional office and the other a national position. I sat in on the meetings when FINRA changed the Series 7 test from a single 6 hour exam to the present two exams being the SIE and the Series 7 top off. I passed the Series 3 exam, the National Commodities Futures...
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 22
- Series 28
- Series 53
- +42 subjects

James: Series 4 test prep instructor
...and Do-It-Yourself Investment Analysis. The former book was chosen by Sylvia Porter as one of her top business books for 1987. While completing my MBA, I also began my professional career in the Financial Services Industry with the firm that later became Shearson American Express. At that firm I worked as a licensed stock, commodity, and insurance broker, earning the position of 2nd Vice President of Investments. By 1987, I had founded AISCO Holdings, Ltd.,...
Education & Certification
- University of Illinois at Urbana-Champaign - Bachelor in Arts, Business, General
Subject Expertise
- Series 4
- Insurance License
- Series 24
- Series 5 - Interest Rate Options Exams
- +24 subjects

Jim: Series 4 test prep instructor
...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 is to have the student pass the exam(s)!
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Finance
Subject Expertise
- Series 4
- Series 27
- Series 24
- Series 63
- +16 subjects

Sakshi: Series 4 test prep instructor
Master's student in International Business with a background in Commerce, specializing in accounting and marketing. Experienced Teaching Assistant and tutor who loves making Math, English, Economics, and Business concepts simple and relatable. I enjoy helping students prepare for standardized tests by building their logic, writing, and problem-solving skills in a fun, encouraging way. Passionate about creating a positive learning environment where students feel confident and curious.
Education & Certification
- Queen's University - Masters in Business Administration, Business, General
Subject Expertise
- Series 4
- Series 38
- Series 30
- Series 3
- +498 subjects