If you've found a job and sponsorship to begin your financial sector career in operations, you should talk to the Educational Directors at Varsity Tutors about one on one custom Series 99 courses. We can find you a private Series 99 course instructor who gives you the opportunity to study in a more efficient manner than you might find in the classroom. To find out more about how a personalized Series 99 class can help you prepare for the exam, contact Varsity Tutors or continue reading below.
The Operations Professional exam can give you the credentials you need to begin your career, and Series 99 prep courses can help you understand, retain, and apply the knowledge and skills you need to improve before test day arrives. We provide you with a dedicated Series 99 prep course instructor who can help you focus on the areas where you need the most help, whether it's learning how to deal with clients, handling and transferring securities properly, reconciling records, or making sure you know the ins and outs of your regulatory responsibilities. If you're not sure where you should be concentrating your efforts, your instructor can identify your knowledge gaps to customize your Series 99 prep classes.
Here is a quick overview of the details of the exam you'll be studying for in your Series 99 classes:
Series 99 Exam Format
| Question Format | # Questions | Time Allowed | Passing Score | Corequisite |
| Multiple-Choice | 50 | 90 Minutes | 68% | SIE Exam |
A Series 99 course can help you focus on the topics on the exam, but tutors also prioritize making sure you have solid test-taking skills. With the proper strategies, you are more likely to realize your potential on exam day. Time management skills, strategies to handle difficult multiple-choice questions, and relaxation techniques could all play a factor in your performance on the Operations Professional Exam.
Of course, your personalized Series 99 prep class will also be substantive. There's a lot for you to know, and the follow list shows some of the topics you can work through during your Series 99 classes:
Series 99 Topics (Non-Comprehensive)
- Account Opening and Maintenance
- Cashiering and Account Transfers
- Custody and Control of Securities
- Trade Reporting and Corrections
- Margin and Stock Loan/Securities Lending
- Settlement
- Account Statements and Confirmations
- Regulatory Financial Requirements of Broker-Dealers
- Books and Records
- Relationships and Dealings with Customers, Vendors and Associated Persons of the firm
- Customer Privacy
- Importance of Escalating Complaints and/or Potential Red Flags
- Broker-Dealer Supervision and Control
When you work with a Series 99 tutor, you get to learn in the ways that are most productive for you. Your class instructor can adapt their teaching approach to match your learning style, whether that means diagramming the flow of a securities transaction on a whiteboard, discussing concepts in depth, or working alongside you through sample questions. Your instructor can also work you through the material on the exam at a pace that's comfortable for you. This strategy ensures that you have the opportunity to fully understand regulatory concepts or client management before moving on to something else.
Varsity Tutors also works hard to try to make your Series 99 course as convenient as possible. We do all the work to identify your instructor, and we try to find you someone who not only has the proper skills but can meet you at a time that works with your schedule. We also provide you with the ability to meet your tutor for online face to face sessions.
To get started with your one on one Series 99 class, contact Varsity Tutors today.
Karen: Series 99 course instructor
...master's degree from Ashwood University in business administration. In addition, I hold an English teaching certificate. Since I graduated, I've taught or coached in several areas. However, my primary focus has been on Series licensing. I help students with all licenses such as SIE, 6, 63, 7 65.66, 24 and many more. Many students struggle with the concepts of the SIE exam. I can break it down for you and relate it to something that...
Education & Certification
- Ashwood University - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 99
- Series 66
- Series 7
- Series 65
- +22 subjects
Hal: Series 99 course instructor
...contribute to the whole of society. No one method applies to all. It is my goal to focus on the individual, adapt my methods to their needs, and inspire them to succeed. I enjoyed a nearly thirty-year career in financial services where I worked as a financial planner, wire-house broker (stockbroker), trust advisor, and wealth advisor. I worked the broker-dealer channel, the bank channel, and the independent channel. I developed and took an introducing brokerage...
Education & Certification
- Frostburg State University - Bachelor of Science, Accounting and Business Management
- Frostburg State University - Master of Science, Management Science
Subject Expertise
- Series 99
- Series 52
- CFP
- Series 51
- +171 subjects
Mary: Series 99 course instructor
...represented resulting in increasing customer business and attractive risk adjusted return on capital (RAROC). My career trajectory continued to expand beyond US domestic equity markets into global markets - Asia, Latin America, Europe as well as into other asset classes FX, Commodities, Fixed Income dictated by customer investment policies, the liberalization of markets, and the respective risk books. I accepted new business roles and appointments and was later recruited to work with other global derivatives...
Education & Certification
- Dickinson College - Bachelor in Arts, Economics
- Northwestern University - Masters in Business Administration, Finance
Subject Expertise
- Series 99
- Series 32
- Series 65
- Series 38
- +109 subjects
Ranga: Series 99 course instructor
I am highly passionate about teaching professional courses and helping students to be successful in their academics and career. My core subjects are business management, project management, agile development life cycle, Lean methodologies, and Six Sigma. I also help develop students knowledge and skills on Microsoft Excel, Word, Powerpoint, MS Access, MS Visio, MS Project and teach some of the most frequently used features, format, formulas.
Education & Certification
- University of Madras - Bachelor in Arts, Administrative Assistance and Secretarial Science
- Indira Gandhi National Open University - Master of Science, Computer Science
Subject Expertise
- Series 99
- SAFe - Scaled Agile Framework Exam
- Six Sigma
- JavaScript
- +31 subjects