Exam Name: Series 9/10 License
Credential Body: Financial Industry Regulatory Authority (FINRA)
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The Series 9/10 License Certification serves as a vital credential for financial professionals seeking to advance into supervisory roles within the securities industry. Formally known as the General Securities Sales Supervisor Qualification Examination, this certification validates an individual’s ability to oversee sales activities and ensure regulatory compliance.
To earn this designation, candidates must pass two distinct modules. The Series 10 portion focuses on general securities supervision, covering 145 questions over four hours. Meanwhile, the Series 9 module centers on options supervision, consisting of 55 questions with a 90-minute time limit. Candidates must be sponsored by a FINRA member firm and have already successfully completed the SIE and Series 7 exams to be eligible.
Investment in this certification involves specific financial commitments. As of 2026, the registration fee for the Series 10 module is $175, while the Series 9 module also costs $175. These fees are required for each attempt, making thorough preparation essential for aspiring supervisors.
Obtaining this license opens doors to significant career progression. Professionals holding this credential can serve as branch managers or sales supervisors, allowing them to manage personnel, approve new accounts, and review public communications. This role is crucial for maintaining firm integrity and protecting investors. By mastering the Series 9/10 License Exam, individuals demonstrate a high level of expertise in regulatory standards, positioning themselves for leadership opportunities and increased earning potential within the financial services sector.