Series 9/10

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Jul 1, 2014 8:31 pm

Hello everyone,

You guys around here helped me with the 7 and 66 last summer and I passed both test. I now have the chance to take my Series 9/10. I receive my materials within the next 2 weeks and I have 90 days to pass both or I don't get the promotion. After passing the 7 and 66, I worked in operations focusing in annuities, mutual funds, and wrap accounts so I haven't worked with options or seen much on options since last summer when studying for the 7 and 66. The 9 is all options and has me worried. It seems the 10 is a lot of compliance/regulations and I feel confident I can pass it with studying.

What is you guys take from the 9 and/or the 10? What is the best training materlal? I will be given STC books but I loved Training Consultworks online test bank for the 66. Anyone recommend any provider for these exams. I don't mind reading STC for the material, I am mainly looking for online test modules.

Thanks in advance!

Feb 12, 2015 5:53 pm

Did you use TC or STC for your Series 9/10?

Mar 7, 2015 1:53 pm

I used both. My firm provided STC which I used to read. I bought TC 10 days before the exam and used it strictly for practice test. I passed the exam.

Mar 12, 2015 6:38 pm

the issue with the principal exams is that they are considerably harder and just passing the practice exams isnt a straight guarantee that you are going to pass…
you have to actually understand the topics before you walk in there. very few test takers score much higher than a 75ish on the actual exam and that is after scoring 80s-90s on the practice exams.
the 9 is the options one but it is mostly rules and regs on options not so much on calculating option questions.
the 10 is a bear and has so many rules… you need to OWN MSRB rules cold I can’t really give you a full synopsis in a forum but over preparing and reading FINRa notices to members in addition to your study materials will be huge… READING is absolutely the key to passing these exams.
Ken Finnen
twitter @wallsttutors