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Series 99 Exam Prep
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Want to walk into your Series 99 Exam with confidence?
We’ve got you covered.

Knopman Marks is here to help! Our Series 99 Exam package offers best-in-class training, access to our instructors, a mobile app, downloadable class supplements and more! We lay out the exact steps you need to follow and provide the tools to support you along the way.

This exam is a requirement for persons who supervise or manage the operations functions of broker-dealers including client on-boarding, accounting, technology and information systems.

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Up-to-date curriculum & premium content
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What’s Included
Our comprehensive course includes everything you
need to study:
6+ Hours of Video Lectures
Access to our Training Center
Benchmark Exam
Digital Flashcards
Textbook & Ebook
Downloadable Supplements
iOS Mobile App to Study Offline
Online Question Bank
Client Success Team Support
And everything you need to truly succeed:
Access to the online Training Center, your digital study hub full of proprietary KM study guides, videos, and more
Real-time email updates from instructors with last-minute tips and nudges exactly when you need them
Proactive ongoing check-ins from our expert team
Easy-to-follow action plan with clear-cut guidance and suggested next steps
Demo the training center

Take a test drive of our Training Center--the place for all your course materials, video lectures, and supplements. You can use the Action Plan to keep you focused, track your progress, and sign up for Live Training if offered.

Our whole team is with you...

We put together a team of the most knowledgeable instructors, coaches, and staff for each course that will keep you on track and meeting your goals. They’re with you every step of the way.

Client Success Captain
Onboarding Specialist
Data Lead
Series 99 Exam Prep Course Course Curriculum
Lesson 1
Intro & The Business of a Broker Dealer
Lesson 2
Securities Markets
Lesson 3
Customer & Tax-Advantaged Accounts
Lesson 4
Opening & Maintaining Customer Accounts
Lesson 5
Customer Securities and Funds
Lesson 6
Regulation of Customer Accounts
Lesson 7
Trade Execution and Settlement
Lesson 8
Professional Conduct and Ethical Considerations
Lesson 9
Wrap Up
Lesson 10
S99 Flashcards (iOS App Access ONLY; Browser access via tab above)
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Exam Details
About the Series 99 Exam
Exam Format
50 graded multiple-choice + 5 experimental, ungraded questions
1 hour and 30 minutes
Passing Score
Recommended Study Time
40 to 60 hours
”I passed!  Your help was invaluable.  Very much appreciated.”
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Series 99 FAQ
Can I take the Series 99 Exam even though I am not sponsored?

You must be sponsored by a FINRA member firm in order to take the Series 99. Learn more about sponsorship and consider the SIE exam if you aren't sponsored.

How many questions should I complete on the practice exams before I take the Series 99?

We recommend completing at least 600 practice questions prior to taking the actual exam.


What is the usual study time for the Series 99 exam?

Assuming you are working full-time while preparing for the examination, you should allow yourself 4-8 weeks or 40-60 hours to read through the material and complete practice exams. 

Should I expect to use the full time allotted on the Series 99 Exam?

Most students are able to finish the exam within the allotted time, without being rushed.

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