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.

Aaron: Mount Pleasant Series 4 test prep instructor
I've spent the majority of my life being a student of the financial realm; and to this day, constantly work to perfect my craft. I believe a lot of work done by financial professionals is noble, they have the ability to help others retire comfortably, protect themselves and loved ones against unfortunate circumstances, help others...
Education & Certification
- University of Nebraska at Omaha - Bachelor of Science, Finance
- Kansas State University - Master of Science, Financial Planning
Subject Expertise
- Series 4
- Series 66
- CFP
- Series 7
- +7 subjects

Michael: Mount Pleasant Series 4 test prep instructor
...electronic trading platforms over 20 years ago. While marketing an equity derivative trading platform I was offered a position on an equity derivatives brokerage desk as a sales/trader for an inter-dealer broker. Here I acted like an extension of my clients trading desks executing delta neutral trades, risk reversals and many other strategies either on...
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 7
- Series 63
- Exam IFM - Investment and Financial Markets
- +14 subjects

Daniel: Mount Pleasant Series 4 test prep instructor
I am a CPA with a background in teaching and tutoring. I can work with you on most finance, business, and accounting subjects. I help simplify the material and highlight the core lessons. I've been told it's very effective and helpful!
Education & Certification
- Malone University - Bachelor in Arts, Organizational Leadership
- Baldwin-Wallace College - Masters in Business Administration, Accounting
Subject Expertise
- Series 4
- Series 6
- SIE
- Series 7 - General Securities Representative Exam (Stockbroker)
- +25 subjects

James: Mount Pleasant Series 4 test prep instructor
I am a semi-retired, well-rounded and seasoned entrepreneur with a proven track record of success. My specialty has been, and continues to be, the founding and growing of companies and the application of technology to business enterprises. From 1979 to present I was involved in numerous entrepreneurial ventures, both public and private, with responsibilities spanning...
Education & Certification
- University of Illinois at Urbana-Champaign - Bachelor in Arts, Business, General
Subject Expertise
- Series 4
- Series 66
- Series 7 - General Securities Representative Exam (Stockbroker)
- Series 24
- +24 subjects
Education & Certification
- Saint Peters College - Bachelor of Science, Business Administration and Management
Subject Expertise
- Series 4
- Series 63
- Series 10
- Series 7
- +4 subjects

Eduardo: Mount Pleasant Series 4 test prep instructor
I am an experienced professional in finance and public policy, holding a degree that has equipped me with a strong analytical foundation. With over 6 years of tutoring experience, both in-person and online, I specialize in Professional Certifications in Finance, sociology, political science, and Spanish, leveraging my fluency in both English and Spanish to connect...
Education & Certification
- University of Central Florida - Bachelor in Arts, Political Science and Government
Subject Expertise
- Series 4
- Series 63
- Series 66
- Series 7 - General Securities Representative Exam (Stockbroker)
- +94 subjects

Peter: Mount Pleasant Series 4 test prep instructor
Hello. My name is Peter Elish and I am a tutor. You are entering a world where it is a "win win," meaning you help others with their finances and make money doing so. These licenses are so valuable, that you have the potential to make as much money, if not more money than doctors...
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 3
- Series 27
- Series 63
- +42 subjects

Jim: Mount Pleasant Series 4 test prep instructor
I have been in the securities industry for over 20 years 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...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Finance
Subject Expertise
- Series 4
- Series 24
- Series 7 - General Securities Representative Exam (Stockbroker)
- Series 63
- +16 subjects

Sakshi: Mount Pleasant Series 4 test prep instructor
As a Master's student in International Business at Queen's University, I have honed my expertise in subjects like economics, finance, and business strategy, building on a solid foundation from my Bachelor's in Commerce. With over 2 years of tutoring experience, I am dedicated to making complex concepts in Math, English, and Business accessible and engaging...
Education & Certification
- Queen's University - Masters in Business Administration, Business, General
Subject Expertise
- Series 4
- SOA - Society of Actuaries
- Series 6
- Series 37
- +498 subjects