If you're ready to move up into supervision of compliance, options trading, foreign exchange trading, and other responsibilities at your firm, you may benefit from talking to Varsity Tutors about Series 4 test preparation. Unlike other choices, we provide top-notch service b giving you a personalized Series 4 prep experience. You get to work directly with an expert who knows how to help you focus on the areas of the test that need the most attention. You can keep on reading below to learn more, or reach out to our Educational Directors to ask your own questions.
Since the Series 4 is in your sites, you've already got experience working through FINRA's exams. The Security Industry Essentials and Series 7 exams helped you demonstrate the skills you need to work in the industry as a trader, but now the stakes are higher. Series 4 test prep lets you focus on the regulatory compliance issues you need to think about, how to supervise others making trading decisions, and otherwise make sure your firm is taking the proper amount of risk the correct way. If you don't know exactly where you should be putting your efforts as you prepare for test day, Series 4 tutors can assess your understanding, identify gaps, and figure out your preferred learning style. Your Series 4 course instructor can then customize a study plan that ensures you're always making progress towards your goals.
Series 4 classes have a lot of material to cover. Here's a breakdown to the sections on the exam you can prepare for with Series 4 tutoring:
Series 4 Section | Focus | # Questions |
Section 1 | Supervise the Opening of New Options Accounts | 21 |
Section 2 | Supervise Options Account Activities | 25 |
Section 3 | Supervise General Options Trading | 30 |
Section 4 | Supervise Options Communications | 9 |
Section 5 | Implement Practices and Adhere to Regulatory Requirements | 12 |
Section 6 | Supervise Associated Persons and Personnel Management Activities | 28 |
Besides covering topics on the exam, Series 4 test prep focuses on your test-taking skills as well. By building up your study skills, developing test-taking and time management strategies, and continually assessing your progress, your Series 4 test prep instructor can help you build confidence in your preparedness for exam day. Series 4 preparation adapts as sessions go on, so you can always work efficiently and effectively.
Another advantage of one-on-one Series 4 courses is that they can move at your pace. If you need to get some extra explanations on the library of regulations you need to make sure your team is complying with, a tutor is ready to accommodate that. You can move on to other topics when you're ready. In this sense, your Series 4 class is what you want it to be and how you want it to be, but with the insight of an accomplished private instructor.
When you contact Varsity Tutors to start Series 4 prep, you get convenience as well. We work hard to find you someone who can help you prepare for the exam at a time that can fit somewhere into your busy schedule. We also provide Series 4 test prep sessions online, so you can meet your tutor through the Live Learning Platform, an innovative tool that gives you a virtual whiteboard, video chat, and other amenities so you're working face to face in real time from anywhere with an Internet connection. Reach out to our Educational Directors to start your Series 4 prep today.

Peter: Series 4 test prep instructor
...the present two exams being the SIE and the Series 7 top off. I passed the Series 3 exam, the National Commodities Futures Exam. If you want to obtain the SIE license, you probably are in one of these categories. You may be doing for the fun of it, looking to get a better understanding of investments, and exploring it as a career. You possibly are in college and wanting an internship at an investment...
Education & Certification
- Rensselaer Polytechnic Institute - Bachelor of Science, Materials Engineering
- California University of Pennsylvania - Master of Science, Mathematics and Statistics
Subject Expertise
- Series 4
- Series 79
- Series 3
- Series 66
- +20 subjects

Michael: Series 4 test prep instructor
...as understanding graphing and more advanced tools such as moving averages, stochastic and market profile. Also, I can impart a trader's mentality outlook, having been a trader in several asset classes. My areas of expertise are the energy complex, crude and heating oil, RBOB gasoline, natural gas in both physical and futures and options. My energy knowledge includes OTC natural gas basis swaps and futures crack, heat and spark spreads. Equities and equity options pricing...
Education & Certification
- Long Island University-C W Post Campus - Bachelor of Science, Finance
- CUNY Bernard M Baruch College - Master of Science, Finance
Subject Expertise
- Series 4
- Series 3
- SIE
- Series 7
- +14 subjects

James: Series 4 test prep instructor
...a licensed stock, commodity, and insurance broker, earning the position of 2nd Vice President of Investments. By 1987, I had founded AISCO Holdings, Ltd., where I served as its Chief Executive Officer (CEO) and its Chairman of the Board. During my tenure, I held, among others, SEC Series Licenses 3, 4, 7, 15, 24, 27, 53, and 63. As the firm's primary SEC Licensed Principal, I grew this financial services conglomerate to $21 million in...
Education & Certification
- University of Illinois at Urbana-Champaign - Bachelor in Arts, Business, General
Subject Expertise
- Series 4
- Series 3
- Insurance License
- Series 24
- +24 subjects

Mary: Series 4 test prep instructor
...financial institution. The firm entered into a joint venture with Swiss Bank creating the opportunity to become part of a newly formed global team deployed as financial engineers in various financial centers - Chicago, Zurich, London, Paris, Tokyo, Hong Kong. My assignment was in the bank's headquarters of Zurich, Switzerland within the Treasury Group where I priced, hedged, executed, and made markets on OTC derivatives, structured product and warrants held by the coveted AAA balance...
Education & Certification
- Dickinson College - Bachelor in Arts, Economics
- Northwestern University - Masters in Business Administration, Finance
Subject Expertise
- Series 4
- Series 28
- Series 22
- Series 38
- +99 subjects

Drew: Series 4 test prep instructor
...have a strong passion to serve others and have an extensive list of success as a mentor, coach and trainer. I have had the benefit of working at all levels in some of America's largest financial service and Fintech companies. In addition to working directly with staff, I have also been responsible for leading a Training organization responsible for hiring and training 2000 new brokers. My field experience combined with my own personal passing of...
Education & Certification
- The Richard Stockton College of New Jersey - Bachelor in Arts, Political Science and Government
Subject Expertise
- Series 4
- Series 65
- Series 24
- Series 79
- +40 subjects

Aaron: Series 4 test prep instructor
...time later, I enrolled at Kansas State University and earned a Master's degree in Personal Financial Planning. Recently, I've earned the Behavioral Financial Advisor (BFA) designation and the Retirement Income Certified Professional (RICP) designation. I've worked in several industry roles from client service, back office roles, compliance, management, personal advising and planning and retirement consulting. When I'm not focusing on my craft I enjoy spending time with my family and am an avid college and...
Education & Certification
- University of Nebraska at Omaha - Bachelor of Science, Finance
- Kansas State University - Master of Science, Financial Planning
Subject Expertise
- Series 4
- Series 53
- Series 66
- Series 7 - General Securities Representative Exam (Stockbroker)
- +7 subjects
Education & Certification
- Saint Peters College - Bachelor of Science, Business Administration and Management
Subject Expertise
- Series 4
- Series 9
- Series 10
- Series 63
- +4 subjects

Jim: Series 4 test prep instructor
...and have a good understanding of many different areas. I will do my best to help the student by simplifying the material and using everyday tasks as examples. Exams I have taken (and passed on the first try): Series 7 (General Securities), Series 24 (General Securities Principal), Series 4 (Registered Options Principal), Series 27 (Financial and Operations Principal), Series 53 (Municipal Securities Principal), Series 66 (Investment Advisor Representative) and PA Life and Health Insurance...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Finance
Subject Expertise
- Series 4
- Series 24
- Series 7
- Series 65
- +16 subjects