Private Series 9 Tutoring Built Around Your Weak Areas
Series 9 tutoring for candidates who know options but are being tested on supervising them. The exam asks what a supervisor must approve, must limit, and must escalate — a different skill from trading, and the reason experienced people still fail it.
Who Series 9 tutoring is for
Series 9 candidates are rarely short on options knowledge. They are short on supervisory judgment.
- You know options cold and are still missing the supervision questions
- Options account approval levels and what each one permits are not clear
- Position and exercise limits, and when to aggregate, are guesswork
- You are unsure when discretion in an options account is permitted
- Complaint handling and escalation questions feel subjective
- You passed the Series 10 and the 9 is the one blocking your qualification
- You have a promotion or a supervisory role waiting on this
- You keep choosing the answer a good trader would give, not a supervisor
What we cover in a Series 9 session
The options supervision half of the General Securities Sales Supervisor qualification. The Series 10 covers general supervision separately.
Options account approval
What financial and suitability information must be collected, who signs off, and which strategies each approval level permits. Most Series 9 questions that look like strategy questions are really approval-level questions.
Position and exercise limits
The limits themselves and, more importantly, the aggregation rules — when accounts acting in concert are counted together. Candidates who know the numbers still miss these when the question describes several related accounts.
Options communications and disclosure
The options disclosure document, delivery timing, and what may be said about an options strategy in a communication. This area is rule-dense and rewards precision rather than intuition.
Supervisory review of recommendations
When a strategy is unsuitable for a given approval level or customer profile, and what a supervisor is obliged to do having seen it. The exam repeatedly puts you a step after the mistake rather than before it.
Discretionary options accounts
When discretion is permitted, what documentation it requires, and the heightened review a discretionary options account attracts. A common source of confident wrong answers.
Sales practice violations in options business
Unsuitable recommendations, excessive trading, and unauthorized transactions in the options context — how they present in a fact pattern, and what the supervisor must do once a red flag appears.
How we diagnose and teach
The Series 9 punishes people for answering as a producer. Presented with a scenario, an experienced options trader picks the answer that is commercially sensible; the exam wants the answer a supervisor is required to give. We spend the session re-training that instinct on your missed questions — what were you obliged to do, in what order, and what does the rule require regardless of the outcome.
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 9 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 9 Session
$220
- One hour, live and one-on-one
- Built around your practice scores and missed questions
- Options account approval, limits, and discretionary account rules
- Supervisory review, escalation, and complaint handling
- 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 9 tutoring FAQs
- A private session is $220 for one hour, one-on-one. No packages, no subscription.
Book a Private Series 9 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 9 resources
- Series 9 study guide and question bank — the material and exam-style practice to work through between sessions.
- Free Series 9 practice assessment — 50 exam-style questions with a topic breakdown, so you know what to bring to the session.