Finance & Securities
Series 99
Free sample + Chapter 1 · Full course with purchase
Starter bank · 29 verified Qs
Series 99 Practice Exam — with an explanation for every answer
Try a few free sample questions, then study Chapter 1 with a free account. Unlock the rest of the outline, the full final diagnostic, and AI drill master when you're ready.
29
verified questions
5
free sample Qs
4
outline chapters
100%
answers explained
29 verified questions — free sample + Chapter 1; unlock the full outline
Full course from $99 one-time · free sample below
Securities exam ladder
Common progression for FINRA/NASAA licenses. Start with free samples and Chapter 1 on each course; unlock what you need for your role.
- 1SIEEntry point — industry essentials, open to anyone 18+.
- 2Series 6Investment company products / variable contracts (sponsored).
- 3Series 7General securities rep — deepest retail trading license.
- 4Series 63State law layer — pairs with 6 or 7 in many paths.
- 5Series 65Investment adviser rep — no firm sponsorship required.
- 6Series 66Combined state + advisory path for many dual-hatted roles.
Free sample questions
5 original questions with a full explanation for every answer choice — try the first 3 free, no account needed. Create a free account to finish the sample and save your progress.
Priya, a new-accounts associate at Lakeshore Brokerage, is opening an individual brokerage account for a U.S. resident. Under the firm's Customer Identification Program, which set of information must she obtain from the customer before the account is opened?
Progress saves to your account and this device — leave anytime and pick up where you stopped.
PauseLiked the format? Continue with free Chapter 1 — Accounts & Transfers
Study by chapter
Chapter 1 is free with your account.
Chapter 1· free
Accounts & Transfers
Customer Accounts, Cashiering, and Account Transfers
7 questions · 1 chapter quiz · ~11 min
Chapter 2
Settlement & Custody
Custody, Clearance, and Settlement
7 questions · 1 chapter quiz · ~11 min
Chapter 3
Margin & Records
Margin, Trade Reporting, Statements, and Books and Records
7 questions · 1 chapter quiz · ~11 min
Chapter 4
Conduct & Ethics
Professional Conduct, Privacy, and Supervision
8 questions · 1 chapter quiz · ~12 min
Final test · 29 questions
Full Series 99 diagnostic
Every chapter, weighted like the real exam, with your score broken down by domain.
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Full Series 99 course from $99 one-time · free sample above
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About this course
The real Series 99 exam: see the official outline for current specifications. The free sample and Chapter 1 let you try the format; the full course covers every outline domain with chapter quizzes, a full-length diagnostic, and adaptive AI practice.
Every question is original, written from the published outline and public primary sources, and human-reviewed before publication — PrepTempo never reproduces actual exam content.
About this Series 99 practice exam
Series 99 practice exam FAQ
Is there a free Series 99 practice exam or practice test?
Yes — free sample Series 99 questions and free Chapter 1 with an account (no card). Unlock remaining chapters and the full final diagnostic with a course purchase.
Are these real Series 99 exam questions?
No. Every PrepTempo question is original and written from public outlines and sources. We never copy live exam content.
Why does every answer choice have an explanation?
Answer keys only tell you the letter. Explaining why wrong options fail is how concepts stick under timed pressure.
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