Best Series 10 Study Guides
The FINRA Series 10 exam is a four-hour, 145-question monster of a test. If you’re considering advancing your career beyond regular sales activities to becoming a general securities sales supervisor, this is an intimidating hurdle to clear.
Even if you’ve already taken the Series 9 exam, there’s still a lot of new information to cover. Using the right study tools is essential, so how do you find them?
There are plenty of excellent Series 10 study guides out there to choose from that will give you all the information and prep you need to pass your exam. There are several well-made exam preparation courses that contain all the vital information you need.
So if you want to avoid having to sit through this four-hour exam more than once, we’ve got you covered! We looked into each program’s price, content, and competitiveness and picked out the five best options below:
| CRUSH RANKING | #1 | #2 | #3 | #4 | #5 |
| COURSE NAME |  |  |  |  |  |
| PRICE | $289 | $470 | $399 | $375 | $510 |
| DISCOUNT | Save 12% | Save 15% | Save 20% | No Discount | |
| ACCESSIBILITY TIMEFRAME | 6 Months | 6 Months | 5 Months | 90 Days | Up to 1 Year |
| PRACTICE QUESTIONS | 1,800 | 400+ | 500+ | 300+ | 2,000+ |
| PRACTICE EXAMS | Yes | Yes | Yes | Yes | No |
| LIVE CONTENT | No | Yes | Yes | Yes | Yes |
| BONUS CONTENT |
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| PASS GUARANTEE? | Yes | Yes | No | Yes | No |
| GET STARTED | Start Now | Start Now | Start Now | Start Now | Start Now |
#1 Securities Institute of America
The Securities Institute of America is dedicated to offering the best possible training for their clients—and I’m inclined to agree after testing their materials.
Not only is SIA shockingly affordable for everything I received, but I loved the simplicity and straightforwardness of the program without compromising on quality or comprehension. Remember: the Series 10 isn’t the CPA. It isn’t easy, but you shouldn’t need a massive library of distracting, unnecessary tools to pass.
It’s clear SIA understands that. Everything was easy to read, the website was simple to navigate, and overall, SIA just gave me a sense of ease that made the stress of studying feel lighter.
Securities Institute of America Features
- 1,800 Practice Questions
- Customize Practice Exams in 15 Different Ways
- 12 Hours of Video Instruction
- 250+ Page eBook and/or Physical Textbook
- Free Shipping for Physical Materials
- Checkpoint Exams and Greenlight Exams
- Pass Guarantee or Full Refund
Course Details
Securities Institute of America offers three different test prep packages. Their Video Course + Practice Exam Package includes unlimited practice exams, video lessons, practice questions, cheat sheets, and test tips. This is a great resource if you don’t need a ton of extra features.
If you’re more of a reading-driven or kinesthetic learner, the Textbook + Test Bank package may be a better fit. This includes a complete textbook, more than 250 pages long. However, it lacks the video lessons.
Finally, the Complete Exam Prep Course is the best for most students, and SIA claims it offers students the best odds of passing the exam. You get the physical and digital textbook formats, videos, test bank, practice exams, and support. However, if you know you only need videos or textbooks to learn, you probably don’t need the upgrade. If you get bored easily and find value in a mix of learning styles, however, it’s a great fit.
No matter what choice you make, Securities Institute of America will let you access their test bank for up to six months. You can also buy their materials individually if you’re not interested in the packages— but they also have a fantastic Series 9 and 10 bundle offer that we highly recommend.
SIA Series 10 Pros & Cons
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Greenlight Guarantee: One standout feature of Securities Institute of America’s FINRA prep courses is their Greenlight Exam and Greenlight Guarantee. Since it’s designed to be a realistic simulation of the actual exam, you’re guaranteed to earn a similar score on your real exam to your score on the Greenlight Exam. Think of it as a dry run before the live performance! -
Choose Your Study Method: If you want an affordable and simplified study package, I recommend the Series 10 Textbook & Exam Prep Software package— it comes with a textbook and exam simulator. However, it doesn’t cost much more for a fleshed out Complete Self Study Solution package, which adds an Ebook, video training, and a personal study calendar. -
Bundle Deal: Since you need to take the Series 9 exam alongside the Series 10 to become a General Securities Sales Supervisor, it’s nice that Securities Institute of America includes a bundle deal that offers you a discount on both courses if you buy them together.
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Access Period: Although 6 months should be enough time for most students to prepare for — and pass — their Series 10 exams, the lack of an unlimited access package with this course is disappointing. Just make sure you can set aside enough time to consistently study over the next nine months and this shouldn’t be a problem for you.
#2 Securities Training Corporation Series 10 Exam Prep
With over 50 years of experience in the industry, Securities Training Corporation is a trustworthy resource if you want to pass the Series 10. They have the highest pass rates in the industry—and while our readers know to take these kinds of claims with a grain of salt, the varied and well-designed course materials they provide add legitimacy to theirs.
STC felt a lot more robust to me than SIA. It’s not just the study materials; the dashboard felt cleaner and better-organized, and the live classes were a serious value add. However, the trade-off is the price, as it’s more expensive than our #1 choice. And while this can definitely be worth it for the right candidate, it may be budget overkill for some compared to the amount of content you actually need.
Ultimately, STC is the best choice for live classes, even if SIA is the better option for the average student.
Securities Training Corporation Features
- 6 Mock Exams
- Practice Questions
- 1,100+ Digital Flashcards
- 11 Hours of On-Demand Lectures
- Live Class Options
- Online and Print Study Materials
- 24/7 Tech Support and Crunch Time Facts
- Lectures, Flashcards, and Practice Exams
- Pass Guarantee
Course Details
Like our top pick, STC also has three Series 10 study packages. Their Standard package is for “self-starters” who want just the materials and no instructor. It includes the basic study manual (online and printed), quizzes, and final exams.
Their Premier package is good if you need some extra instruction; it includes everything from the Standard package along with:
- Progress exams
- “Green Light” exams
- On-demand lectures
- Flashcards
- STC Pass Guarantee
Finally, the Premier Plus package adds ~16 hours of live instruction, plus the recordings to review if you miss one of the days of the two-day sessions. In my opinion, there is some real value in being able to ask an expert your questions in real-time; however, the true value is the accountability. If you struggle to get yourself to sit down and do the work, these classes basically force you to show up and put in the time.
Keep in mind that only the Premier and Premier Plus packages are covered by Securities Training Corporation’s Pass Guarantee. This program guarantees that you’ll get your money back if you don’t pass your Series 10 exam on the first attempt, but not for the Standard Package.
STC Series 10 Pros & Cons
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Affordable Study Resources: If you’re not too picky and just need some study texts and practice exams, STC has an affordable Standard package that’s a perfect fit. It even comes with an instructor hotline, which is better than a lot of standard or basic study packages you can find for the Series 10 exam. -
Condensed Expertise: Speaking of the Instructor Hotline, you can call or email your teachers to get fast responses to any questions you may have about their curriculum. When you combine this with the Cliffs Notes-style Crunch Time Facts, you get access to years of experience and insight distilled into time-saving study features. -
Tons of Practice Exams: All students who enroll in STC can access a large library of practice exams that are similar to the actual Series 10 exam. But if you enroll in their Premier or Premier Plus packages, you can also take progress exams and Green Light exams that guarantee a passing grade on the real thing!
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Pass Guarantee: Unfortunately, STC only offers a pass guarantee as part of their courses that include their Green Light Exam— so their Standard package doesn’t count. This means you’ll have to spring for one of the more expensive courses if you want a guarantee that your study materials will help you earn a passing grade.
#3 Kaplan Series 10 Study Guide
Kaplan is one of the most ubiquitous education companies out there, and out of all the courses listed above, Kaplan has the widest variety. All of their tools are available for individual purchase, and they also provide three full course packages.
Kaplan Features
Their Basic package comes with:
- A practice exam
- A performance tracker
- A study calendar
- A License Exam Manual (PDF and print form) that breaks the exam into short, easy-to-learn units
- Their SecuritiesPro Qbank, which lets you build your own exam question simulations and dive into the topics you need to review the most
Their Essential package comes with everything from the Standard package as well as:
- Checkpoint exams
- A midterm exam
- Unit introduction + summary videos
Their Premium package includes everything from the Essential package as well as:
- Live Online and On-Demand class options
- A mastery exam
- Print + PDF class notes
- Access to InstructorLink, which connects you with a Kaplan instructor anytime you want additional help
All of these packages are accessible for up to five months from purchase.
So why is this at the bottom of our list? Well, it’s far from a bad option— it’s definitely among the best online resources if you want to be a municipal securities broker dealer. However, this company lacks the personal touch from options like Securities Institute of America or STC.
Some parts felt like they were created with what students wanted in mind instead of what they would actually need and use. And while I see the value of that, pulling someone in with something and then surpassing their expectations by giving them what they really need, I preferred the simplicity of SIA.
Kaplan Series 10 Pros & Cons
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Affordable Options: You have a lot of variety in terms of course offerings with Kaplan. You only need to pay a few hundred dollars for the essentials, but upgrading to a more robust offering won’t put a huge strain on your wallet. -
InstructorLink: This is the best reason to sign up for Kaplan’s Premium Series 10 review course. Basically, you can get in touch with one of your instructors at any time for a little extra help on a specific practice question or section of the study text.
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Support: If you run into an issue and need to contact support, you’ll need to navigate a ton of menus in order to find someone who knows about FINRA courses specifically. Since Kaplan Financial covers tons of subjects, you’re not going to get the fast and well-informed responses to your questions that you would with those other choices.
#4 ExamFX Series 10 Study Guide
Scoring a fantastic 4.5 out of 5 on Trustpilot, ExamFX is a pre-licensing training company with more than 65 years of industry experience and a 90% satisfaction rating. According to their website, they were the first name in the game and continue to be one of the best at providing Series 10 exam prep.
ExamFX Features
- 20+ hours of lecture recordings
- 4 final exams
- 350+ page print and digital textbooks
- Online flashcards
- A readiness exam
- Instructor support throughout the entire study process
One unfortunate drawback to this municipal securities prep course is its access period. Despite being more expensive than our top pick, you only get half the amount of time to study with the Textbook Package. Unless you’re a quick learner who’s interested in an accelerated schedule, this is more of a negative than a positive.
ExamFX Series 10 Pros & Cons
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Guarantee Exam: Much like Securities Institute of America and STCUSA, ExamFX provides enrolled students with an exam that’s designed to be accurate to the actual Series 10 exam down to the last detail. If you somehow pass this Guarantee Exam but still don’t pass the Series 10, you’ll receive a full refund with no questions asked. -
Simple and Effective: ExamFX designed a modern online dashboard with traditional sensibilities. What this means is that you can easily access all of your study materials through a single page on their Interactive Learning Portal— you won’t get lost in confusing menus and sub-menus. -
Exam Sims and Focused Review: Aside from their Guarantee Exam, ExamFX also provides several additional exam sims for you to use when studying. At the end of each one, this course will analyze your strongest and weakest subjects and provide a Focused Review that recommends further passages for you to study in order to improve your score.
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Access Period: Although ExamFX’s Series 10 review course is designed to be completed at an accelerated pace, 90 days may not be enough for some students.
#5 Knopman Series 10 Study Guide
Knopman is one of the youngest companies offering FINRA test taker training courses, but their curriculum is dedicated to making sure you’re prepared not only for your exam, but for your career. This level of career guidance isn’t something you find in a lot of online courses.
Unfortunately, their Series 10 Exam Prep course costs quite a bit, making it one of the more expensive programs on our list. Fortunately, you get a serious amount of study materials for your money, so it’s still a worthwhile investment if you can afford it.
Knopman Marks Features
- Access to a textbook (both print and ebook)
- Supplements
- A benchmark exam
- More than 10 hours of video lectures
- A mobile app to study offline
- Access to their online question bank and training center
- Email updates from your instructors with tips and reminders as you go
If you desperately need a confidence booster, Knopman promises an easy-to-follow path to a passing score on this notoriously difficult exam. The program is divided into seven lessons, each covering a different section of the test. It’s frequently updated and driven by the most recent data to make sure that you’re getting the correct information as fast as possible.
Knopman Marks Series 10 Pros & Cons
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Mobile App: Unlike many of the online FINRA study guides that cover Series 10, Knopman Marks has a companion mobile app for the iPhone and iPad. This allows you to download study materials to your device and access them offline, which is extremely convenient in a number of less-than-ideal study situations. -
Regular Checkups: As you progress through your online review course, the instructors at Knopman Marks will have regularly scheduled calls with you to ensure you’re on the right track to a passing score on the Series 10. This means you won’t have to study in a vacuum— you’ll always have the confidence to ensure maximum success on the test!
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Pass Rate: Knopman Marks boasts a 70% pass rate for their students, which is slightly lower than the pass rates advertised by the other companies on this list. However, they attest to the accuracy of their data and provide a much more thorough justification for their number when compared to STCUSA or Securities Institute of America.
Frequently Asked Questions – FINRA Series 10 Exam
According to FINRA, Series 9 and Series 10 exams are limited principle exams, meaning they qualify you for a single category of position– a supervisor. There are different kinds of supervisory positions, but they all fall under the same specific category and area of expertise and therefore require the same knowledge.
A Series 24 exam is a more general qualification. It lets you supervise over all banking and securities business areas and covers a broader scope of study. That being said, a Series 24 is much more limited in what products it covers than the Series 9 and Series 10.
Strictly speaking, you don’t need to take full classes to qualify for your Series 10 exam. According to the rulebook, you just need to be sponsored by a FINRA member and have passed your SIE and Series 7 exams first.
That being said, the exam is 145 questions in four subcategories that take roughly four hours to complete. It’s an extremely detailed, in-depth exam that’s going to require a significant amount of preparation. If you choose not to register for a preparation class, you need to have at least some kind of study material available to you. That’s what makes the programs on this list so important!
Kenneth W. Boyd is a former Certified Public Accountant (CPA) and the author of several of the popular "For Dummies" books published by John Wiley & Sons including 'CPA Exam for Dummies' and 'Cost Accounting for Dummies'.
Ken has gained a wealth of business experience through his previous employment as a CPA, Auditor, Tax Preparer and College Professor. Today, Ken continues to use those finely tuned skills to educate students as a professional writer and teacher.
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