Securities License Education | Securities Training Corporation

Securities License Education

Series 99 is a FINRA exam required for individuals identified as "covered persons" responsible for certain back-office or operational functions. Individuals are required to pass both the Series 99 top-off Exam and the SIE qualification exam in order to register as an operations professional.

Financial Services QE Packages

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Series 99 Top-Off Standard

Series 99 Top-Off Premier

Series 99 Top-Off Premier Plus

SIE/Series 99 Top-Off Standard

SIE/Series 99 Top-Off Premier

SIE/Series 99 Top-Off Premier Plus

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