Private Series 10 Tutoring Built Around Your Weak Areas
Series 10 tutoring for candidates being tested on what a branch manager has to do, not what a representative has to know. Hiring, supervisory systems, sales practice review, and the moment something has already gone wrong — that is where sessions go.
Who Series 10 tutoring is for
The Series 10 is a judgment exam. Candidates who study it as a rules exam plateau.
- You passed the Series 9 and the 10 is the one blocking your qualification
- Registration, U4, and statutory disqualification questions go wrong
- You are unsure what a written supervisory procedure must actually contain
- Correspondence and advertising review requirements blur together
- Complaint handling and reporting timelines are guesswork
- You have a branch manager role waiting on this qualification
- Your practice scores are fine on rules and poor on scenarios
- You keep picking the commercially sensible answer over the required one
What we cover in a Series 10 session
The general supervision half of the General Securities Sales Supervisor qualification. Options supervision is the Series 9 and is covered separately.
Hiring and registration
Form U4, the background investigation a firm must conduct, statutory disqualification, and what a supervisor must verify before an associated person produces. These questions reward knowing the sequence, not just the forms.
Supervisory systems and written procedures
What the procedures have to cover, how branch inspections work, and the delegation rules — what a supervisor may delegate and what remains theirs regardless. The exam is precise about the difference.
Communications review
Correspondence, retail communications, and institutional communications: which require pre-approval, which require post-review, and what records the review has to leave behind.
Sales practice supervision
Suitability review, excessive trading, unauthorized transactions, and outside business activities. Most of these arrive as fact patterns where the violation has already happened and the question is what you do next.
Customer complaints
What counts as a complaint, the recording obligation, the reporting obligation, and the timelines attached to each. Candidates routinely know the concept and miss the deadline.
Books, records, and continuing education
Retention requirements, the firm and regulatory elements of continuing education, and the recordkeeping a supervisor is personally responsible for.
How we diagnose and teach
Supervisory exams test what you do after something has gone wrong, and that is the habit most candidates have not built. A representative-level exam asks whether a recommendation was suitable; the Series 10 asks what you are obliged to do having seen an unsuitable one on a blotter. We work through your missed scenarios in that frame — what triggered the obligation, what the obligation is, and by when.
From there it’s pattern recognition — teaching you to recognize the handful of question shapes the exam reuses — elimination discipline, and timing, so the method holds up at the end of the exam as well as it does at the start.
Who you’re working with
- 15+ years in the securities industry, including a career inside major banks
- Thousands of hours of one-on-one tutoring across FINRA and NASAA exams
- A track record of retake rescues — candidates who failed once or twice, often after a big-box course, and passed once the approach to reading exam questions changed
How a Series 10 session works
One hour, live, one-on-one — and you leave knowing what to do next.
Book your hour
Pick a time that works, pay, and your slot is locked in. Send your score report or practice scores ahead if you have them.
Diagnose the real gap
We work through questions you missed to separate topic gaps from reading and elimination mistakes.
Teach it, then apply it
Targeted instruction on the topic, followed immediately by exam-style questions on it.
Leave with next steps
A written plan for the days before your exam: what to drill, in what order, and what to stop spending time on.
PRICE AND BOOKING
1-Hour Private Series 10 Session
$220
- One hour, live and one-on-one
- Built around your practice scores and missed questions
- Hiring, registration, supervisory systems, and communications review
- Sales practice supervision, complaints, and reporting timelines
- A written next-steps plan before your exam date
Check available times
Browse upcoming 1-hour session slots. Booking + payment opens after you select a time.
Loading available times…
Series 10 tutoring FAQs
- A private session is $220 for one hour, one-on-one. No packages, no subscription.
Book a Private Series 10 Session
Bring your score report, your practice results, or just the questions you keep missing. We’ll find what’s costing you points and fix it.
More Series 10 resources
- Series 10 study guide and question bank — the material and exam-style practice to work through between sessions.
- Free Series 10 practice assessment — 50 exam-style questions with a topic breakdown, so you know what to bring to the session.