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
- 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.
Mary: Series 99 course instructor
...and stamina. An integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new hires from top universities. At the time, O'Connor was the largest market maker in the U.S. financial options exchanges and had been looking to partner with a larger financial institution. The firm entered into a joint venture with Swiss Bank creating the opportunity to become...
Hal: Series 99 course instructor
...then a week-long Brokers Option Course at the Chicago Board of Options and followed that as the designated options trader for a firm. I have over twenty years of teaching experience at the college and university level in addition to having served as a national educator in investments for a Fortune 20 firm. My background includes having been licensed as a Certified Public Accountant, Certified Financial Planner, Certified Trust and Investment Advisor, Regulation 144 Specialist,...
Warren: Series 99 course instructor
I have enjoyed and prospered for 40 years in the security industry. If I can help another person have the same success then I have truly accomplished something. I attended the University of Illinois but my life education is from experience running brokerage and registered investment advisory firms. My approach to training starts with an understanding of the individual's needs from there we can structure an approach around the unique needs of each individual.
Education & Certification
- College of Financial Planning - Associate in Arts, Financial Planning
- Series 99
- Series 6
- Series 16
- ISEE- Upper Level
- +21 subjects