Series 9 Securities License Exam Prep & Requirements

Securities Training Corporation has trained over a million experts in the financial industry since 1969. If you are ready to get your Series 9 license, our Series 9 program will help you pass with confidence.

Series 9 License Requirements

1. Step 1: Prepare for the Series 9 license with STC exam prep.
   • Gain access to practice exams, flashcards, instructor hotline and more
2. Step 2: You must be age 18 or older to sit for the Series 9 exam.
3. Step 3: Find a member firm to sponsor you
   • To take the Series 9 exam, you must be associated with and sponsored by a member firm
4. Step 4: Enroll in your FINRA Series 9 exam
   • Upon receipt of candidate eligibility information from your sponsoring organization, FINRA will email you enrollment instructions
   • After you enroll, you will have a 120-day window to schedule your exam at a Prometric test center
   • You can find more enrollment info on the FINRA website
5. Step 5: Schedule your Series 9 exam
   • After you are enrolled to take the exam, you have 120 days to schedule and take the exam at a Prometric test center
   • You can schedule your exam at www.prometric.com/finra or by calling their Contact Center at (800) 578-6273
   • Be sure to review your exam confirmation email for your exam-day details
   • Arrive 30 minutes before your scheduled exam
   • You can schedule your exam at www.prometric.com/finra or by calling their Contact Center at (800) 578-6273
   • Bring a valid, government-issued ID, such as an unexpired driver's license, passport or military ID
   • If your test was completed on a computer, you'll get your results once you complete the exam
   • You will also receive a printed copy of your score report
6. Step 6: Pass your Series 9 exam and get your Series 7 license
   • The Series 9 and Series 10 exams are typically taken together. In addition to the Series 9 and 10 exams, you must also pass the SIE exam and the Series 7 exam to hold the General Securities Sales Supervisor registration.