The FINRA Series 10 exam is a four-hour, 145-question monster of a test. If you’re considering advancing your career beyond regular sales activities to becoming a general securities sales supervisor, this is an intimidating hurdle to clear.
Even if you’ve already taken the Series 9 exam, there’s still a lot of new information to cover. Using the right study tools is essential, so how do you find them?
There are plenty of excellent Series 10 study guides out there to choose from that will give you all the information and prep you need to pass your exam. There are several well-made exam preparation courses that contain all the vital information you need.
So if you want to avoid having to sit through this four-hour exam more than once, we’ve got you covered! We looked into each program’s price, content, and competitiveness and picked out the five best options below:
#1 Securities Institute of America
The Securities Institute of America is dedicated to offering the best possible training for their clients— and they’ve got the stats to prove it.
Their website claims that they have a 90% pass rate for the past 25 years. Their secret is a Greenlight Exam, which guarantees that students who pass will also pass the actual test or receive a full course refund.
Securities Institute of America Features
- 1,800 Practice Questions
- Customize Practice Exams in 15 Different Ways
- 12 Hours of Video Instruction
- 250+ Page Ebook
- Checkpoint Exams and Greenlight Exams
- Pass Guarantee or Full Refund
Securities Institute of America offers two different test prep packages. Their basic package is $249; it includes a study guide and a practice exam. This is a great resource if you’re self-motivated, pressed for time, and don’t need a ton of extra features.
But if you’re looking for extra features, you may want to consider their second option:
If you need a little more help, check out their Complete Self Study Solution package for about $30 more. In addition to the study guide and practice exam, this adds 11 hours of video instruction for more hands-on help with the numerous topics included on this difficult qualification exam.
No matter what choice you make, Securities Institute of America will let you access their test bank for up to six months. You can also buy their materials individually if you’re not interested in the packages— but they also have a fantastic Series 9 and 10 bundle offer that we highly recommend.
SIA Series 10 Pros & Cons
- Greenlight Guarantee: One standout feature of Securities Institute of America’s FINRA prep courses is their Greenlight Exam and Greenlight Guarantee. Since it’s designed to be a realistic simulation of the actual exam, you’re guaranteed to earn a similar score on your real exam to your score on the Greenlight Exam. Think of it as a dry run before the live performance!
- Choose Your Study Method: If you want an affordable and simplified study package, I recommend the Series 10 Textbook & Exam Prep Software package— it comes with a textbook and exam simulator. However, it doesn’t cost much more for a fleshed out Complete Self Study Solution package, which adds an Ebook, video training, and a personal study calendar.
- Bundle Deal: Since you need to take the Series 9 exam alongside the Series 10 to become a General Securities Sales Supervisor, it’s nice that Securities Institute of America includes a bundle deal that offers you a discount on both courses if you buy them together.
- Access Period: Although 180 days should be enough time for most students to prepare for — and pass — their Series 10 exams, the lack of an unlimited access package with this course is disappointing. Just make sure you can set aside enough time to consistently study over the next nine months and this shouldn’t be a problem for you.
#2 Securities Training Corporation Series 10 Exam Prep
With over 50 years of experience in the industry, Securities Training Corporation is a trustworthy resource if you want to pass the Series 10. They have the highest pass rates in the industry— and while our readers know to take these kinds of claims with a grain of salt, the varied and well-designed course materials they provide add legitimacy to theirs.
Securities Training Corporation Features
- 400+ Practice Questions
- Online and Print Study Materials
- 24/7 Tech Support and Crunch Time Facts
- Lectures, Flashcards, and Practice Exams
- Pass Guarantee
Like our top pick, STCUSA also has two Series 10 study packages. Their Standard package is for “self-starters” who want just the materials and no instructor. It costs a little over $300 and includes the basic study manual (online and printed) and final exams.
Their Premier package is good if you need some extra instruction; it includes everything from the Standard package along with:
- Progress exams
- “Green Light” exams to let you know you’re ready to move on
- On-demand lectures
Both packages include access to an instructor hotline, 24/7 tech support, and free updates. You can also buy the materials individually if that’s more your speed.
Keep in mind that only the Premier package is covered by Securities Training Corporation’s Pass Guarantee. This program guarantees that you’ll get your money back if you don’t pass your Series 10 exam on the first attempt. So if you fail after studying with the Standard package, you’re out of luck!
STC Series 10 Pros & Cons
- Affordable Study Resources: If you’re not too picky and just need some study texts and practice exams, STCUSA has an affordable Standard package that’s a perfect fit. It even comes with an instructor hotline, which is better than a lot of standard or basic study packages you can find for the Series 10 exam.
- Condensed Expertise: Speaking of the Instructor Hotline, you can call or email your teachers to get fast responses to any questions you may have about their curriculum. When you combine this with the Cliffs Notes-style Crunch Time Facts, you get access to years of experience and insight distilled into time-saving study features.
- Tons of Practice Exams: All students who enroll in STCUSA can access a large library of practice exams that are similar to the actual Series 10 exam. But if you enroll in their Premier or Premier Plus packages, you can also take progress exams and Green Light exams that guarantee a passing grade on the real thing!
- Pass Guarantee: Unfortunately, STCUSA only offers a pass guarantee as part of their courses that include their Green Light Exam— so their Standard package doesn’t count. This means you’ll have to spring for one of the more expensive courses if you want a guarantee that your study materials will help you earn a passing grade.
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#3 Kaplan Series 10 Study Guide
Kaplan is focused on providing educational content for learners of all ages. They’ve got programs for kids as young as kindergarten all the way up through 12th grade— as well as tons of courses for undergrad and post-grad certifications. They’re one of the most ubiquitous education companies out there— so you can expect their General Securities Sales Supervisor content to meet their high standards.
Out of all the courses listed above, Kaplan has the widest variety. All of their tools are available for individual purchase, and they also provide three full course packages.
Their Basic package costs a little over $250 and comes with:
- A practice exam
- A performance tracker
- A study calendar
- A License Exam Manual (PDF and print form) that breaks the exam into short, easy-to-learn units
- Their SecuritiesPro Qbank, which lets you build your own exam question simulations and dive into the topics you need to review the most
Their Essential package is $399; it comes with everything from the Standard package as well as:
- Checkpoint exams
- A midterm exam
- A video library
Their Premium package is $449, including everything from the Essential package as well as:
- Class notes
- A mastery exam
- Access to InstructorLink, which connects you with a Kaplan instructor anytime you want additional help
All of these packages are accessible for up to five months from purchase, with the option to extend your access another five months for an additional $49.
So why is this at the bottom of our list? Well, it’s far from a bad option— it’s definitely among the best online resources if you want to be a municipal securities broker dealer. However, this company lacks the personal touch from options like Securities Institute of America or STCUSA.
Here’s what I mean:
If you run into an issue and need to contact support, you’ll need to navigate a ton of menus in order to find someone who knows about FINRA courses specifically. Since Kaplan Financial covers tons of subjects, you’re not going to get the fast and well-informed responses to your questions that you would with those other choices.
Kaplan Series 10 Pros & Cons
- Affordable Options: You have a lot of variety in terms of course offerings with Kaplan. You only need to pay a few hundred dollars for the essentials, but upgrading to a more robust offering won’t put a huge strain on your wallet.
- InstructorLink: This is the best reason to sign up for Kaplan’s Premium Series 10 review course. Basically, you can get in touch with one of your instructors at any time for a little extra help on a specific practice question or section of the study text.
- Support: If you run into an issue and need to contact support, you’ll need to navigate a ton of menus in order to find someone who knows about FINRA courses specifically. Since Kaplan Financial covers tons of subjects, you’re not going to get the fast and well-informed responses to your questions that you would with those other choices.
#4 ExamFX Series 10 Study Guide
Scoring a fantastic 4.5 out of 5 on Trustpilot, ExamFX is a pre-licensing training company with more than 65 years of industry experience and a 90% satisfaction rating. According to their website, they were the first name in the game and continue to be one of the best a t providing exam prep for General Securities Sales Supervisors.
- Access to their Interactive Learning Portal
- Online flashcards
- A readiness exam
- Online exam simulations
- Instructor support throughout the entire study process
One unfortunate drawback to this municipal securities prep course is its access period. Despite being more expensive than our top pick, you only get half the amount of time to study. Unless you’re a quick learner who’s interested in an accelerated schedule, this is more of a negative than a positive.
ExamFX Series 10 Pros & Cons
- Guarantee Exam: Much like Securities Institute of America and STCUSA, ExamFX provides enrolled students with an exam that’s designed to be accurate to the actual Series 10 exam down to the last detail. If you somehow pass this Guarantee Exam but still don’t pass the Series 10, you’ll receive a full refund with no questions asked.
- Simple and Effective: ExamFX designed a modern online dashboard with traditional sensibilities. What this means is that you can easily access all of your study materials through a single page on their Interactive Learning Portal— you won’t get lost in confusing menus and sub-menus.
- Exam Sims and Focused Review: Aside from their Guarantee Exam, ExamFX also provides several additional exam sims for you to use when studying. At the end of each one, this course will analyze your strongest and weakest subjects and provide a Focused Review that recommends further passages for you to study in order to improve your score.
- Access Period: Although ExamFX’s Series 10 review course is designed to be completed at an accelerated pace, 90 days may not be enough for some students. For comparison, Securities Institute of America offers an access period that’s twice as long.
#5 Knopman Series 10 Study Guide
Knopman is one of the youngest companies offering FINRA test taker training courses, but they’re clearly doing something right. Their pass rates are no joke— up to 97% for some courses! Additionally, their curriculum is dedicated to making sure you’re prepared not only for your exam but for the career ahead. This level of career guidance isn’t something you find in a lot of online courses.
Unfortunately, their Series 10 Exam Prep course costs $500, making it the most expensive program on our list. Fortunately, you get a serious amount of study materials for your money, so it’s still a worthwhile investment if you can afford it.
Knopman Marks Features
- Access to a textbook (both print and ebook)
- A benchmark exam
- More than 10 hours of video lectures
- A mobile app to study offline
- Access to their online question bank and training center
- Email updates from your instructors with tips and reminders as you go
If you desperately need a confidence booster, Knopman promises an easy-to-follow path to a passing score on this notoriously difficult exam. The program is divided into seven lessons, each covering a different section of the test. It’s frequently updated and driven by the most recent data to make sure that you’re getting the correct information as fast as possible.
Knopman Marks Series 10 Pros & Cons
- Mobile App: Unlike many of the online FINRA study guides that cover Series 10, Knopman Marks has a companion mobile app for the iPhone and iPad. This allows you to download study materials to your device and access them offline, which is extremely convenient in a number of less-than-ideal study situations.
- Regular Checkups: As you progress through your online review course, the instructors at Knopman Marks will have regularly scheduled calls with you to ensure you’re on the right track to a passing score on the Series 10. This means you won’t have to study in a vacuum— you’ll always have the confidence to ensure maximum success on the test!
- Pass Rate: Knopman Marks boasts a 70% pass rate for their students, which is slightly lower than the pass rates advertised by the other companies on this list. However, they attest to the accuracy of their data and provide a much more thorough justification for their number when compared to STCUSA or Securities Institute of America.
Frequently Asked Questions – FINRA Series 10 Exam
According to FINRA, Series 9 and Series 10 exams are limited principle exams, meaning they qualify you for a single category of position– a supervisor. There are different kinds of supervisory positions, but they all fall under the same specific category and area of expertise and therefore require the same knowledge.
A Series 24 exam is a more general qualification. It lets you supervise over all banking and securities business areas and covers a broader scope of study. That being said, a Series 24 is much more limited in what products it covers than the Series 9 and Series 10.
Strictly speaking, you don’t need to take full classes to qualify for your Series 10 exam. According to the rulebook, you just need to be sponsored by a FINRA member and have passed your SIE and Series 7 exams first.
That being said, the exam is 145 questions in four subcategories that take roughly four hours to complete. It’s an extremely detailed, in-depth exam that’s going to require a significant amount of preparation. If you choose not to register for a preparation class, you need to have at least some kind of study material available to you. That’s what makes the programs on this list so important!