Series 99 – Operations Professional Exam

Master Securities Operations: Your Path to Series 99

Gain a solid foundation in securities operations. This course equips you with the essential knowledge and skills required for a successful career in the back office.

What You’ll Learn:

• Customer Onboarding: Master the process of opening and maintaining client accounts.

• Financial Control: Understand cash and securities management, reconciliations, and settlement.

• Account Maintenance: Learn about account transfers, disbursements, and reinvestments.

• Regulatory Compliance: Adhere to FINRA and SEC rules governing operations.

No prior experience in securities operations is required!

Our course is designed to be accessible to a wide audience, including those new to the financial industry. We’ll start with the fundamentals and gradually build upon your knowledge.

A basic understanding of business and finance would be helpful but is not essential. We’ll provide clear explanations and examples throughout the course.

This course is designed for individuals involved in securities operations or those aspiring to a career in this field. It’s ideal for:

• Operations Professionals: Looking to strengthen their understanding of securities operations.

• Back-Office Staff: Involved in customer onboarding, account maintenance, or settlements.

• Compliance Officers: Seeking a broader understanding of operational risks and controls.

• Financial Analysts: Interested in the operational aspects of the securities industry.

Whether you’re starting a new career or looking to advance your position, this course provides valuable insights into securities operations.

By completing this course, you’ll be well-prepared for the Series 99 exam and a career in securities operations.

Enroll today and start your operations career!

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Frequently Asked Questions

How long do I have access to the course materials?

You can view and review the lecture materials indefinitely, like an on-demand channel.

Can I take my courses with me wherever I go?

Definitely! If you have an internet connection, courses on Udemy are available on any device at any time. If you don’t have an internet connection, some instructors also let their students download course lectures. That’s up to the instructor though, so make sure you get on their good side!