How to Get Your Series 4 Registered Options Principal License
Series 4 License Requirements:
- Find a Sponsoring Firm
- To take the Series 4 Exam, you must:
- — Be associated with and sponsored by a member firm
- — Be 18 years of age
- To take the Series 4 Exam, you must:
- Study for Your Series 4 License
- By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.
- Complete Form U4
- On your behalf, your sponsoring firm will send your completed Form U4 to FINRA.
- FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.
- Schedule Your Exam
- You can schedule to take the exam by contacting the Prometric Testing Center at prometric.com/test-takers/search/1finraor through their Contact Center at (800)578-6273.
- Pass the Series 4
- After your exam, you’ll receive a printed copy of your score.
- To obtain your Series 4 License, you must also pass both the Securities Industry Essentials (SIE) Exam and the Series 7 Exam.
The Essential Self-Study Package is an excellent choice if you prefer to prepare, practice, and perform on your own. Planning your exam preparation is made simple with our customizable study calendar that schedules daily tasks based on your study time frame and exam date. Begin preparing for your exam with units in the License Exam Manual for a comprehensive overview covering all aspects of the exam. Practice your test-taking skills and focus on areas of weakness after each unit with quizzes in the SecuritiesPro™ QBank. Use the Video Library for additional clarification on exam topics you may be having trouble understanding. Finally, test your performance with our Practice Exam for a final review before the actual exam.
The Essential Self-Study Package Includes:
- Study Calendar
- License Exam Manual (LEM) (Print & PDF)
- SecuritiesPro™ QBank
- Video Library
- Checkpoint Exams
- Midterm Exam
- Practice Exam
- Exam Tips & Content Updates
*The online access period for your QBank course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.
The FINRA® Series 4, Registered Options Principal Exam is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the supervisory management of a firm’s options personnel and options accounts.
Prerequisites: Series 7, 17, 37, 38, or 62 (with Series 42)
Exam Format: 125 multiple-choice questions
Exam Duration: 3 hours
Outline of Topics Covered:
- Options Investment Strategies
- Supervision of Sales Activities and Trading Practices
- Supervision of Employees, Business Conduct, and Record-keeping and Record Requirements
“Did You Find What You Need?” For Additional Resources & Testing:
- State and/or National Licensing Authority (Click Here)
- State and/or National Testing (Click Here)
- Exam Prep Course and Study Tools (Click Here)
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