Courses
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Phone
Call (800) 752-7599 for volume pricing information
Series 99 - Operations Professional
The Series 99 Operations Professional is for anyone in the FINRA list of "covered persons" that must be registered. These are essentially supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel are excluded from the requirement. Also remember that anyone who currently has a Series 6 or Series 7 license is grandfathered.

Books
$125
Bundle
$75
Bundle
Save $50 ($200 value)… $150
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