best finra series 79 exam prep

Completing the Series 79 exam is an essential first step toward becoming an investment banker. Much like the Series 7 exam, it’s an important top-off that measures your ability to advise or facilitate public and private offerings and sales.

Since it’s such an important job, the test to become a licensed insurance broker can be very difficult; you’ll need to put in some serious study time if you want to pass on your first try.

Similar to the prerequisite SIE exam, completing a Series 79 prep course will massively increase your chances of passing your investment banking representative qualification exams. There are many options available, making it difficult to choose the best Series 79 study guides.

That’s why I’ve thoroughly examined the best and most popular Series 79 study courses below. Take a look and find out which ones can best prepare you for a rewarding career as an insurance broker!


1. Securities Institute of America

Securities Institute of America

Our top pick is the Securities Institute of America due to its multifaceted approach to test prep. Securities Institute of America (SIA) is renowned for its dedication to providing top-tier study materials for various securities exams, and its Series 79 study material is no exception. Designed meticulously to cater to the needs of investment banking professionals, this study material ensures that candidates are well-prepared to tackle the Series 79 exam.

Course Details

SIA’s Series 79 study material is a blend of comprehensive content and practical exam strategies. Key features include:

  • Interactive Learning Portal: Gain access to a user-friendly platform that offers a structured study plan, ensuring that you cover all essential topics.
  • Comprehensive Study Guide: Dive deep into the intricacies of investment banking with a detailed textbook that breaks down complex concepts into digestible information.
  • Practice Exams: Test your knowledge with simulated exams that mirror the actual Series 79 test format, helping you get accustomed to the exam environment.
  • On-Demand Video Lectures: Benefit from expert-led video sessions that elucidate challenging topics, ensuring you grasp every detail.
  • Customizable Quizzes: Target your weak areas by creating custom quizzes, allowing for focused revision.

Their FINRA Series 79 catalog includes a textbook, exam prep software, and a combo package that includes both. The 300-page textbook is a great crash course in all the essential topics you’ll need to know in order to pass the exam and start working professionally as a registered representative. This includes:

  • Valuation analysis
  • Financial restructuring
  • Corporate transactions

It’s a decent educational resource on its own, but it works even better as a supplement to SIA’s online test prep course. This is compatible with Mac or PC and can even be accessed on most tablets and smartphones.

Pros and Cons

  • Greenlight Guarantee: Securities Institute of America has a Greenlight Exam you’re supposed to take near the end of their online course. This is a realistic simulation of the full exam, so you can expect an identical score between both tests. In fact, SIA guarantees you’ll pass your Series 79 if you pass their Greenlight Exam, or you’ll get a full refund.
  • Written By Experts: SIA’s practice questions are challenging and provide a valuable resource to supplement knowledge gained from their videos and text passages. These materials are designed by experienced professionals in the finance industry, including Certified Financial Analysts.
  • Dedicated Instructor Support: One of the standout features of SIA is the accessibility to industry experts. Students can reach out with queries or for clarifications, ensuring that no doubt remains unresolved. This personal touch adds an extra layer of support, making the study process smoother and more effective.
  • Interactive Learning Tools: Beyond traditional study materials, SIA offers interactive tools such as flashcards, quizzes, and real-time feedback on performance. These tools not only enhance retention but also make the learning process more engaging and dynamic.
  • Customizable Study Plans: SIA understands that every student has a unique learning pace and style. Their platform allows candidates to tailor their study plans, ensuring that they can focus on areas where they need the most attention, optimizing their preparation time.

Bottom Line

The Securities Institute of America offers a robust Series 79 study package, underpinned by their confidence-boosting Greenlight Guarantee. Crafted by financial experts, the material is complemented by customizable plans and interactive tools. For those aiming for Series 79 success, SIA is a top-tier choice.

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2. Securities Training Corporation

Securities Training Corporation Course

STCUSA is impressive in the way they implement study materials to reinforce learning. Lectures are followed up by practice tests to ensure you can apply your new knowledge and keep everything fresh in your mind for exam day.

Course Details

STCUSA courses use their materials to guide you through a pre-made study plan. Each new lesson reinforces what you’ve learned elsewhere, and plenty of self-study materials are available for you to use on your own time.

Thanks to this, you can apply everything you’ve learned to your own professional experience— and you never have to worry about distractions while studying.

STC Has Been The Go-To in Securities Training for Over 50 years

There are currently 3 packages available for STCUSA’s Series 79 course: Standard, Premier, and Premier Plus plans. These cost $370, $525, and $625 respectively, but they frequently go on sale. Depending on whether you want more lecture content or more practice tests, different packages may work better for your study needs.

Here are some of the many features and materials included with STCUSA’s courses:

  • Crunch Time Facts
  • 24/7 Support
  • 6-Month Enrollment Period
  • Online and Printed Study Manual
  • Practice Exams
  • On-Demand Lectures
  • Flashcards
  • Pass Guarantee

Pros and Cons

  • Test-Based Content: The most effective strategy for exam preparation is imitation; that’s why STCUSA makes sure that each set of lessons comes paired with a practice exam. Completing these not only improves your knowledge but also ensures that you’re familiar with the format of the exam ahead of time.
  • Instructor Support: You never have to struggle alone if you’re having issues with certain concepts. STCUSA’s instructors are willing to answer your questions both in and out of live class time. Thanks to that, you can quickly get help and move on to the next question!
  • User-Friendly Platform: The course is delivered through a user-friendly online platform, making it easy for learners to access study materials, practice tests, and other resources anytime and anywhere.

  • Limited Learning Styles: STCUSA offers a very focused study guide with little variation. There are no adaptive learning or customizable options outside of the initial course package you choose. Essentially, you’ll have to work within this course’s schedule instead of having it work around yours.

Bottom Line

STCUSA is an excellent course that focuses heavily on traditional learning styles. Choose this course if you prefer a straightforward and gimmick-free study experience.


3. Kaplan

Kaplan Financial Education FINRA

If you’re only interested in self-study material, then Kaplan is a good option for exam prep. They offer a wide range of independent study methods and materials that are perfect for the self-motivated student.

You’ll spend most of your time answering multiple-choice questions. These emulate the actual FINRA exam as closely as possible, so you can be assured you’re only operating off of accurate information. Plus, question contents are frequently updated at no extra charge. That way, they can keep up with industry standards.

Although practice exams are the focus of Kaplan, that’s not all they have to offer. Included with this course are:

  • Exam Tips
  • Content Updates
  • SecuritiesPro QBank
  • Performance Tracker
  • Study Calendar
  • License Exam Manual

Pros and Cons

  • Keep Track Easily: It can be tough to determine how much progress you’ve made when you’re in the middle of your journey. Fortunately, Kaplan makes this easier by offering performance tracking features as part of their FINRA study materials.
  • Convenient Schedule: Chances are that you have many obligations that take up your time every day. To make it easier to study while handling your other time commitments, Kaplan’s Series 79 review course includes a customizable study calendar that lets you set specific days off and allot certain amounts of time to study each week.
  • Time Management: Part of Kaplan’s SecuritiesPro QBank is a time tracker that records how long it takes for you to answer each question. This can help you focus on reducing this time on later attempts— which is an incredibly useful skill to have when taking the full-timed Series 79 exam.

  • Midterm Exam: Although it’s a helpful way to gauge your readiness for the full exam, the fact that you have to take a midterm as part of this review course is bound to be unappealing for recent college graduates. Fortunately, it’s far less difficult than any midterm you would have to take in a typical upper-division university course!
  • A Bit Pricey: Kaplan’s Series 79 course, while comprehensive, can be on the pricier side compared to other options, potentially making it less accessible for individuals or firms with a limited budget for exam preparation.

Bottom Line

Kaplan may be a bit lean on content, but it provides a very focused study experience. If you only want to drill practice problems — or you’re looking for a cheaper alternative to Knopman — then look no further.


4. Knopman Marks

KnopmanMarks Financial Training FINRA

Knopman offers blended classes for general securities exam preparation. These are scheduled courses that use a combination of recorded lectures, faculty-led coaching, and review sessions. This is a powerful combination that leads to great results, and it doesn’t necessitate a strict study schedule.

Course Details

Knopman has created an industry-leading training program with an incredible 96% first-time exam pass rate. They’ve done so by including comprehensive study materials in addition to instructor guidance that can be accessed at any time.

How to Pass the Series 79 Exam

The base price for Knopman’s self-study materials is $500. However, if you want unlimited access to instructor-led courses, then you’ll need to pay an additional $225 for the all-access pass. Once you’ve got both of these, you’re free to get started on your studying.

Knopman’s comprehensive course includes everything you need to study and succeed, such as:

  • Textbook & eBook
  • Digital Flashcards
  • Mobile App
  • 10+ Hours of Video Content
  • Practice Exams
  • Training Center
  • Downloadable Supplements
  • Tutoring Sessions

Pros and Cons

  • Review Sessions: Knopman instructors will occasionally lead 60-minute review sessions in order to recap key exam topics. These also double as question-and-answer segments for anything you find confusing or unclear. Attending these will allow you to delve deep into the most difficult concepts and take the Series 79 exam with confidence.
  • Free Demo: It can be tough to decide on a purchase with limited information. That’s why Knopman includes a free demo for their training center. This means you can get familiar with the Knopman course before spending any money!

  • Live Classes: When Knopman refers to live study material, they aren’t necessarily referring to lecture content. Unless you’re interested in paying for their premium course, you’ll only have live tracking study tools— which are still extremely effective at preparing you for a passing score.
  • Overwhelming Content Load: While Knopman Marks Series 79 provides extensive and detailed materials, the sheer volume of information can be overwhelming for some learners, especially those who prefer a more concise or streamlined approach to studying.

Bottom Line

Even without their live courses, Knopman materials are well worth the time and money. They offer a unique advantage that other companies struggle to match; plus, their pass rates are some of the highest in the industry.


FINRA Series 79 Exam FAQs

What can you do with a Series 79 license?

Passing the Series 79 exam is a requirement for any entry-level job in investment banking. However, you must also complete the SIE exams to obtain registration for an investment job.

How long is the Series 79 exam?

The Series 79 exam requires you to complete 75 multiple-choice questions in 150 minutes. These are split up into key areas based on major job functions. See FINRA’s website for more details.

How much does the Series 79 exam cost?

Enrollment for the test is $245, but that won’t be everything you need to pay for. You’ll also need to factor in transportation and the price of a prep course if you plan on using one to study. Both of those can bump the cost above $500.

What is the wait time between Series 79 exam attempts?

You must wait 30 days after completion before attempting the Series 79 exam again. However, if you fail 3 times in a row, you’ll need to wait 180 days before trying again. You will also need to pay for each attempt— so it’s highly recommended that you study enough to pass on your first try!

Kenneth W. Boyd is a former Certified Public Accountant (CPA) and the author of several of the popular "For Dummies" books published by John Wiley & Sons including 'CPA Exam for Dummies' and 'Cost Accounting for Dummies'.

Ken has gained a wealth of business experience through his previous employment as a CPA, Auditor, Tax Preparer and College Professor. Today, Ken continues to use those finely tuned skills to educate students as a professional writer and teacher.