Top 5 Series 99 Study Materials of 2026: Study Guides & Exam Prep

ByKenneth W. Boyd
By Kenneth W. Boyd
Updated:Jul. 25, 2026
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With a Series 99 license, you could be earning up to $110,000 a year. According to ZipRecruiter, it’s a game-changer.

But how do you get there?

The answer is clear: ace the FINRA Series 99 Exam.

Completing a Series 99 prep course will give you everything you need to pass the test on your first try. In order to help you pick out a good one, I’ve taken a look at the 5 best prep courses on the market. Each of these has something valuable to offer to any aspiring industry professionals. Let’s take the next step towards that salary leap together.

1. Securities Institute of America

Securities Institute of America Exam Prep

Not only are SIA courses written by highly trained test prep professionals, but they also have the highest pass rates in the industry.

Course Review

The Securities Institute of America is entirely focused on self-study— that means you set the pace and can work through the materials in any order you please. You can follow the course’s recommended schedule to complete everything, but you’re also given free reign to approach your test prep however you want.

In addition to videos and exams, SIA also offers a series of ebooks and study guides. These are a more traditional learning tool and serve as a great way to learn offline. All of these are very easy to read and understand, with individual lessons short enough that you can squeeze in a quick study session when taking a break from something else.

Features

  • 432-Page Study Guide

  • Unlimited Randomized Simulated Final Exams

  • 13 Hours of Video Lessons

  • 16 Videos

  • 16 Section Tests

  • 432-Page eBook

  • 6 Months / 180 Days of Access

Pros and Cons




  • Video Classes: SIA’s series 99 class is one of the best exam preparation courses I’ve seen on the market. Lessons are direct and easy to understand; each major point is highlighted by important visuals or formulas on screen. As a result, you’ll use different parts of your brain while studying, which increases the amount of information you’ll memorize in a shorter period of time.



  • Mobile Friendly: All materials included with this course are available on mobile devices. As a result, you can take your learning on the go. Whenever you have free time, just pull out your phone and complete a couple lessons— no need to set aside a huge chunk of time whenever you want to study!



  • Exam-Based Training: SIA courses come with several types of practice tests. Each exam tests your progress in different ways, such as how well you understand each section or gauging if you’re ready to take the qualification exams yet. These tests are issued at key intervals of the course so you can shift your study schedule around based on the results.




  • No Live Content: SIA’s course is entirely based on independent study. If you’re looking for tutoring or any interaction with teachers then you’ll need to check elsewhere. But as long as you know what you’re getting into, the lack of live materials is not that big of a deal.

Bottom Line:

Securities Institute of America has the best online study course for Series 99. Thanks to that, it’s natural that they would end up on the top of this list. Make sure to check them out today!

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2. Securities Training Corporation

Securities Training Corporation’s FINRA prep courses rely heavily on content that’s as realistic to the actual exam as possible. Completing this course will familiarize you with both the content and the format of the Series 99 test.

Course Review

STC wants their students to be prepared for every aspect of the Series 99 exam. That’s why they’ve gone out of their way to offer as many practice tests as possible. Each type of exam they offer has a purpose: progress exams gauge how well you understand what you’ve learned, and green light exams tell you when you’re ready to pass a section of the real Series 99 test. Completing all of these will leave you uniquely prepared for the real thing.

If the tests aren’t enough for you, STC also includes a series of video lectures. These are available both live and on demand. Watching these can give you extra context to everything you’ve learned. Plus, they’ll allow you to interact with other people and benefit from their knowledge.

Todd Talks STC Pass Guarantee

Features

  • Online and Printed Study Manual

  • Instructor Hotline

  • Crunch Time Facts

  • Chapter Quizzes

  • Final Exams

  • Green Light Exams

  • On-Demand Video Lectures

  • 24/7 Tech Support

  • STC Pass Guarantee

Pros and Cons




  • Study Manuals: Before each test, you’ll be asked to complete a study manual. This gives you the information you need to take each test. Each guide has been written by a working professional and conveys everything clearly and concisely. Once you’ve learned everything, the tests will reinforce that knowledge and ensure that you understand it.



  • Video Lectures: If you pay for the second tier of this Series 99 exam prep course, you’ll also gain access to a series of video lectures. These mimic a traditional classroom format and allow you to learn everything about the Series 99 exam in a structured format. For many students, explanations from a teacher work much better than simply reading from a piece of text.



  • Live Content: You can access a live online course if you need one. Much like the video lectures, this mimics a classroom. But since it’s live, you can interact with the teacher and other students. Feel free to ask for clarification on key aspects or hear insights from everyone involved in the course.




  • Price: STC gates off their best study materials behind higher payment tiers. This includes both classroom-based content and tests. As a result, anyone who can’t afford higher tiers will find a far worse learning experience. If you’re interested in an effective budget-friendly course, Securities Institute of America is a better choice.

Bottom Line:

If you excel when using test based content, then STCUSA is the course for you. Their course will uniquely prepare you for both the content and format of the Series 99 exam.

3. Kaplan Financial Education

Kaplan Financial Education FINRA

Course Review

Unlike the other courses on this list, Kaplan is much more structured. You’ll be asked to follow a study calendar and complete tasks based on your study time frame and exam date. As a result, you’ll need to put in a lot more work than you would with other courses. However, you’ll also see a much higher payoff when it comes to your exam score—simply follow the schedule to completion and you’ll easily pass the Series 99 exam.

Features

  • License Exam Manual

  • SecuritiesPro QBank

  • Unlimited Randomized Practice Exams

  • Custom Exams by Topic and Length

  • Checkpoint Exams

  • Practice Exam

  • Mastery Exam

  • Performance Tracker

  • Unit Intro and Wrap-Up Videos

  • Customizable Study Plan

  • Exam Tips and Content Updates

  • Student Community Access

  • 5 Months of Online Access

Pros and Cons




  • Frequent Updates: Whenever anything changes about the Series 99 Exam, Kaplan will provide you and all their other students with instant updates to reflect these changes. This way, you can focus on your immediate concerns — passing your practice exams — without having to constantly keep an eye on the big picture.



  • Track Your Performance: Some of the best online review courses for different exams, licenses, and career paths will use modern technology to accurately gauge your progress as you study. Kaplan is one such company, and their performance tracking tech is embedded in every aspect of their Series 99 review course.




  •  Instructor Access: Although Kaplan offers students the ability to send questions directly to their instructors for several of their FINRA review courses, no such option is available for students enrolled in their Series 99 exam prep program. This means you’re better off with a company like Knopman Marks if you want extra guidance from your teachers.

Bottom Line:

Kaplan is a good choice if you prefer a more structured study schedule. However, if you don’t have a lot of time to dedicate to studying every day then I’d recommend ExamFX or Securities Institute of America instead.

4. ExamFX

ExamFX Study Guides

Course Review

Much like STC, ExamFX focuses heavily on test-identical content. This can be seen in their multiple exam formats, including readiness and guarantee exams. Completing these can be helpful, but you only have 90 days to get through them all— no big deal if you’re trying to save time, but it could lead to some anxiety towards the end of that 3-month training period.

Each exam prep course comes with limited customer support but no tutoring or live learning options. They may not have as much to offer, but ExamFX is a far cheaper alternative to more expensive options.

Features

  • Hard-Copy or Digital Textbook

  • Personalized Study Calendar

  • On-Demand Video Lectures

  • Section and Chapter Exams

  • 4 Standard Final Exams

  • Unlimited Random Final Exams

  • Custom Exam Generator

  • Online Flashcards

  • Online Glossary

  • Progress Tracking

  • Instructor Support

  • Real-Time Content Updates

  • 180 Days of Online Course Access

Pros and Cons




  • Inexpensive: If you only have $100 to spend on your education, ExamFX is a great fit for your budget. You’ll get a well-made library of study materials that are designed to prepare you for a passing grade quickly and efficiently.



  • Accelerated Pace: If you’re pressed for time, ExamFX is an excellent way to get up to speed on essential concepts covered on the Series 99 exam as quickly as possible. It manages to cover all the relevant subjects in three months— with a guarantee that you will be able to earn your license on one attempt at the end of those 90 days.




  • Limited Catalog: Unfortunately, you only have one course to choose from if you want to study with ExamFX. And while it’s not too expensive and comes with some decent study tools, it’s not as open and welcoming to the inexperienced test taker when compared to Securities Institute of America.

Bottom Line:

If you can’t afford STCUSA, then this is a solid fallback option. They still offer several types of exams but aren’t quite as effective as alternatives.

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5. Knopman Marks Financial Training

KnopmanMarks

Course Review

Knopman Marks sets itself apart by offering a wide variety of materials instead of focusing on one aspect of studying. Their course comes with video lectures, flashcards, training exams, and more. Because of that, it’s easy to avoid burnout with this course. Just switch up study methods whenever you start getting bored— it’ll also help you think on your feet and understand multiple approaches to similar ideas.

FINRA Series EXAM Study Tips - Art of Answering Questions

Features

  • One Year of Course Access

  • Physical and Digital Textbook

  • Video Lectures

  • Digital Flashcards

  • Customizable Practice Questions

  • Initial Assessment

  • Preset Exams

  • Benchmark Exam

  • Supplemental Key Concepts Resources

  • Client Experience Support

  • Faculty Content Q&A

  • Automated Performance Monitoring

  • Study Journey Email Guidance

  • Private Faculty Strategy Calls

Pros and Cons




  • Mobile Support: Most online classes offer mobile support as an afterthought— usually just a phone-friendly version of their dashboard that can be accessed on your device’s web browser. In comparison, Knopman doesn’t neglect their mobile audience; they designed a mobile app for Apple devices that’s intuitive and allows for offline access.



  • Amazing Support Network: It can be tough to study by yourself, and most online learning solutions can make you feel isolated. To prevent this, Knopman Marks includes regular email updates from your instructors as part of all their Series 99 review courses.




  • Android Users: Unfortunately, Knopman currently doesn’t provide any mobile apps for Android or Samsung devices. This means you’ll have to stick with your device’s web browser or keep all your studying to a desktop or laptop computer.

Series 99 FAQs

How many questions are on the Series 99 exam?

According to the FINRA exam content outline, there are 50 questions covering 2 major functions.

How can I qualify for the Series 99 exam?

In order to qualify, you must be sponsored by a FINRA member firm. Once you get their endorsement, they will request the exam for you.

Does a Series 99 license expire?

Only if you leave a FINRA firm and aren’t hired at a new one within 2 years. If that happens, you’ll need to pass the test again.

Series 99 vs Series 7: Which is better?

The Series 99 license is necessary to work as an Operations Professional, but you can actually register as one if you’ve passed the Series 7 exam. Additionally, Series 7 licensure allows you to work as a General Securities Representative, which earns a higher average salary than an Operations Professional. For these reasons, we recommend Series 7 over Series 99.

Which Series 99 prep course offers the most comprehensive video lectures?

If you’re a visual learner and prefer comprehensive video lectures, the Securities Institute of America’s Series 99 Exam Prep stands out. With over 13 hours of detailed video content, it’s designed to cover all the exam topics thoroughly and is ideal for those who absorb information best through visual and auditory means.

I have a full-time job; which Series 99 prep course offers the greatest flexibility?

For those with demanding schedules, ExamFX offers a self-paced option that’s designed to fit around your commitments. Their course provides a streamlined study experience with a focus on core exam content, allowing you to efficiently prepare for the Series 99 exam without a significant time investment.

Which Series 99 prep course has the highest volume of practice questions?

STC’s Series 99 prep course is renowned for its extensive practice question bank. If you’re someone who learns best through repetition and wants to ensure you’ve covered as many potential exam questions as possible, STC’s offering could be the right choice for you.

Which Series 99 prep course provides the most interactive learning experience?

Knopman Marks is known for its interactive learning approach, which includes a mix of video lectures, flashcards, and practice exams. Their iOS app also supports learning on the go, making it a good choice for those who prefer a hands-on study method and need the flexibility to study anywhere.

Which course offers the most in-depth explanations if I’m concerned about the difficulty level of the Series 99?

Kaplan’s Series 99 prep course is structured to provide in-depth explanations and a methodical approach to studying. Their study calendar helps you plan your preparation, and their detailed content review ensures you understand the material deeply, which is crucial for tackling the more challenging aspects of the exam.

What Series 99 study course offers the most personal support?

If personalized support is what you’re after, Knopman Marks offers direct access to instructors for questions and clarification. Their personalized service can be particularly beneficial if you’re looking for guidance on complex topics or need additional help understanding certain areas of the exam content.

How do Series 99 online classes compare to traditional classroom settings in terms of exam success rates?

Online classes for the Series 99 exam, such as those offered by Securities Institute of America and Kaplan, provide flexibility and convenience that traditional classroom settings can’t match. These courses often boast comparable, if not better, success rates due to their adaptive learning technologies and the ability to revisit content as needed.

What is the pass rate for the Series 99 exam?

The average pass rate for the Series 99 exam is approximately 71%. This statistic indicates the level of difficulty of the exam and underscores the importance of thorough preparation.

How do Series 99 prep courses improve pass rates?

Several prep courses report significantly higher pass rates than the average. For instance, Kaplan’s online courses, which are widely used by candidates, boast a 93% pass rate for the Series 99 exam.

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.

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