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.

Eduardo: Matteson Series 4 test prep instructor
...fluency in both English and Spanish to connect with students from diverse backgrounds. My teaching philosophy centers on fostering a supportive and engaging learning environment, where I encourage critical thinking and curiosity. I am passionate about helping students achieve their academic goals and develop a love for learning, drawing on my interests in history, geography,...
Education & Certification
- University of Central Florida - Bachelor in Arts, Political Science and Government
Subject Expertise
- Series 4
- FINRA - Financial Industry Regulatory Authority
- Series 7 - General Securities Representative Exam (Stockbroker)
- Series 99
- +94 subjects

James: Matteson Series 4 test prep instructor
...over $700 million in customer assets under management, and employed approximately 300 licensed personnel. I coordinated and managed all functions of the holding company and its subsidiaries, which included a national brokerage firm, a commodity firm, an insurance firm, a market-making brokerage firm, and a facilities company. My responsibilities included all aspects of corporate and...
Education & Certification
- University of Illinois at Urbana-Champaign - Bachelor in Arts, Business, General
Subject Expertise
- Series 4
- Series 27
- Series 7
- Insurance License
- +24 subjects

Aaron: Matteson Series 4 test prep instructor
...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 professional football fan.
Education & Certification
- University of Nebraska at Omaha - Bachelor of Science, Finance
- Kansas State University - Master of Science, Financial Planning
Subject Expertise
- Series 4
- Series 7 - General Securities Representative Exam (Stockbroker)
- Series 65
- CFP
- +7 subjects
Education & Certification
- Saint Peters College - Bachelor of Science, Business Administration and Management
Subject Expertise
- Series 4
- Series 7
- Series 10
- Series 24
- +4 subjects

Michael: Matteson Series 4 test prep instructor
...and many other strategies either on a held or not held basis. Held means I am given the price by the client to fill and not held means the order is at my discretion to pick the price. Here we traded large institutional size orders of every strategy for the banks client who are sophisticated...
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
- SIE
- Series 7
- Series 3
- +14 subjects

Daniel: Matteson 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
- CPA
- CLU - Chartered Life Underwriter
- FINRA - Financial Industry Regulatory Authority
- +25 subjects

Peter: Matteson Series 4 test prep instructor
...are hired in the business and need to pass the SIE and the other FINRA exams thereafter. Please understand that these tests are NOT EASY. You must be committed to PASSING the test. Your commitment to passing ensures my commitment to you. Otherwise, I probably am not the right tutor for you. My GOAL is...
Education & Certification
- Rensselaer Polytechnic Institute - Bachelor of Science, Materials Engineering
- California University of Pennsylvania - Master of Science, Mathematics and Statistics
Subject Expertise
- Series 4
- Insurance License
- IBEW - International Brotherhood of Electrical Workers
- SIE
- +42 subjects

Jim: Matteson Series 4 test prep instructor
...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 (General Securities Principal), Series 4 (Registered Options Principal), Series 27...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Finance
Subject Expertise
- Series 4
- Series 65
- Insurance License
- Series 53
- +16 subjects