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FINRA Series 4 Exam Prep & Study Materials
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Want to walk into your Series 4 Exam with confidence?
We’ve got you covered.

The Series 4 Exam is required of individuals functioning as options principals, compliance registered options principals, or senior registered options principals.

Data-driven guidance to help you pass
Up-to-date curriculum & premium content
Trusted by the biggest firms in the industry
Series 4: Registered Options Principal Exam Training
Series 4 Exam Prep Course
Reliable Practice Exams
Our unique set of diagnostic, benchmark, and practice
tests can accurately predict your readiness level and
your likeliness of passing the actual exam
Chance of passing on the first try if you pass our Series 4 Benchmark Exam.
Chance of passing on the first try if you average 70%+ on your first 1,000 Series 4 sample questions.
Chance of passing on the first try if you average 60-70% on your first 1,000 Series 4 sample questions.
What’s Included
Our comprehensive course includes everything you
need to study:
6+ Hours of Video Lectures
Access to our Training Center
Textbook/Ebook (Kaplan)
Downloadable Supplements
iOS Mobile App to study offline
Online Question Bank (Kaplan)
Client Success Team Support
And everything you need to truly succeed:
Access to the online Training Center, your digital study hub full of proprietary KM study guides, videos, and more
Real-time email updates from instructors with last-minute tips and nudges exactly when you need them
Proactive ongoing check-ins from our expert team
Easy-to-follow action plan with clear-cut guidance and suggested next steps
Demo the training center

Take a test drive of our Training Center--the place for all your course materials, video lectures, and supplements. You can use the Action Plan to keep you focused, track your progress, and sign up for Live Training if offered. 


Our whole team is with you...

We put together a team of the most knowledgeable instructors, coaches, and staff for each course that will keep you on track and meeting your goals. They’re with you every step of the way.

Client Success Captain
Onboarding Specialist
Data Lead
Series 4 Course Curriculum
Lesson 1
Introduction & Equity Options
Lesson 2
Non-Equity Options
Lesson 3
Customer Accounts
Lesson 4
Margin Accounts
Lesson 5
Options Sales Practices and Industry Regulation
Lesson 6
Series 4 Wrap-Up
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Exam Details
About the Series 4 Exam
Exam Format
125 graded multiple-choice + 10 experimental, ungraded questions
3 hours and 25 minutes
Passing Score
Recommended Study Time
50 to 60 hours
Sarah R.
”The instructors were great – from teaching me what I needed to know for the exam, patiently answering my questions, finding alternative ways for me to understand the trickier subjects of the test, and constantly being available for me anytime of day even if it was for a quick confidence boosting conversation – I never felt like I was without their support.”
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Series 4 FAQ
How many questions should I complete on the Series 4 Practice Exams before I take the exam?

You should plan on completing about 600 Series 4 practice questions online prior to taking the exam.  If your scores are not within passing range at that point, you may need to complete more questions.

Should I expect to use the full time allotted on the Series 4 Exam?

Most students are able to finish the exam within the allotted time, without being rushed.

What is the usual study time for the Series 4 Exam for the typical student?

Assuming you are working full time while preparing for the examination, you should allow yourself two to three weeks to read through the material and another one to two weeks to complete practice exams.  You should attend the live class or receive private instruction one to two weeks before taking the Series 4 examination.  The total study time is typically three to five weeks.

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