FINRA Series 4 Best courses
Summary: Best Series 4 prep courses (2026)
A strong study program for the FINRA Series 4 includes intuitive, effective study tools, flexibility, online access, and well-constructed, full-length practice exams. The Series 4 exam, or the Registered Options Principal Qualification Exam, tests a candidate's competency to supervise as a Registered Options Principal. These duties include supervising a firm's options personnel, complying with statutory provisions, managing accounts and trading, and enforcing exchange rules and regulations governing options trading. The exam consists of 135 questions (125 of which are scored), requires a score of 72% to pass, and is administered by the Financial Industry Regulatory Authority. For an overview of the broader licensing path, see Achievable's FINRA securities exam courses.
To help you choose your preparation approach, we've compiled a list of test prep vendors offering Series 4 courses. This includes Kaplan, Securities Training Corporation (STC), Securities Institute of America (SIA), and ExamFX, whose marketing language highlights each provider's features. Review their Series 4 study resources and user feedback to determine the best option for your needs.
Some user reviews have been slightly edited for length and clarity.
Top-rated Series 4 course materials of 2026-2027
Our top choices for Series 4 preparation suit every study schedule and skill level, from self-guided textbooks to resource-rich programs. We selected these based on:
- Cost
- What affordable options are available, and what advantages do more expensive choices provide to justify their higher prices?
- Variety
- Does the course, study manual, or other core resource include supplementary tools such as flashcards or study calendars?
- Coverage
- Does the material match the official exam? Which courses are ideal for in-depth preparation, and which are better for brief topic reviews?
- Accessibility
- Do their tools use a clear, user-friendly style that simplifies complex ideas? Is this resource ideal for learners who prefer live instruction, or does it suit diverse learning preferences?
- Community feedback
- What do learners think of this vendor's instructional materials, practice tests, and other resources? Are reviews mostly positive?
- Score boosters
- Does the program provide enough rigor to help you pass the Series 4 exam on your first attempt?
For each vendor, we present the main features, advantages, and disadvantages of their study tools. Use this guide to choose the resources that will most effectively support your Series 4 exam preparation.
Most recognizable: Kaplan Financial Education Series 4
- Kaplan is well known for its expertise in financial licensing, largely due to its accessible exam-preparation products. Their SecuritiesPro™ question banks are especially popular among FINRA candidates.
- Two course tiers are offered: Basic, focused on self-study, and Essential, which includes videos and additional exams.
- QBank enables Series 4 candidates to focus on specific topics and create personalized exams.
- Content updates and exam tips are consistently posted, providing learners with up-to-date materials and test details.
- Performance Tracker and a modifiable Study Plan are included in all packages.
- Limited access window (5 months)
- Only one simulated Practice Exam is included in the Basic package
- No pass guarantee
- Reviewers considered the content of the Kaplan Series 4 too complex for efficient study.
- License Exam Manual (LEM)
- Exam tips and content updates
- Unit intro and wrap-up videos (Essential package only)
- Basic
- Essential
Kaplan Financial Education offers a self-paced Series 4 exam preparation program designed for candidates pursuing the Registered Options Principal qualification. Its Series 4 packages include a comprehensive License Exam Manual, customizable study plan, SecuritiesPro™ QBank, practice exam, performance tracking, exam tips, and access to an online student community. The QBank allows students to create customized quizzes and simulated exams, review detailed answer rationales, and track their performance.
Kaplan currently offers two primary Series 4 packages: the Basic Self-Study Package for $249 and the Essential Self-Study Package for $299. The Essential package adds resources such as unit introduction and wrap-up videos, checkpoint exams, and a midterm exam for more structured preparation. Both packages provide five months of online access, making Kaplan particularly suited to candidates who prefer to prepare independently and work through the material on their own schedule. Regarding course drawbacks, students have noted that Kaplan's question wording can be more challenging than the test itself. Some also criticize the program for not emphasizing deep learning or retention of the covered topics. A few test-takers suggest using Kaplan's question bank alongside other courses for better preparation.
“Kaplan was great to keep me paced and studying. Not sure what other providers there are, but the exam questions did not really match the format used by Kaplan.”
“I did Kaplan for education and thought it was terrible. I actually did fairly well on the exams but felt like I learned and retained nothing.”
Bottom line: Kaplan offers a range of Series 4 prep packages at different price points. As a well-established brand, they often rely on their reputation, even though their materials may not be as reliable as those of other providers.
Best for traditional learners: Securities Training Corporation Series 4
- STC's Series 4 courses offer printed and digital exam materials, "Crunch Time Facts," numerous chapter quizzes, and several full-length exams.
- STC, among the oldest licensing prep providers, has built a solid reputation and gained the trust of top financial institutions.
- Offers a variety of training resources designed for rigorous self-study
- Flashcards, additional exams, lectures, and virtual classes are available for separate purchase, enabling users to customize their study plans
- All tiers include Instructor Hotline and 24/7 tech support
- The Premier package features a pass guarantee
- The standard package excludes Progress Exams, Green Light Exams, flashcards, and pass assurance
- Offers limited analytics and progress tracking
- Learners have noted that STC Series 4 practice questions sometimes do not align with the actual exam content
- Online and printed study materials
- Crunch Time Facts
- Free course updates
- 6-month enrollment period
- Series 4 Standard
- Series 4 Premier
Securities Training Corporation (STC) offers a self-paced Series 4 exam prep program designed to prepare candidates for the FINRA Registered Options Principal exam. Its Standard package includes online and printed study manuals, final exams, Crunch Time Facts, an instructor hotline, course updates, and six months of access. Students can also create custom exams and use performance reports to identify weaker topics and focus their study time accordingly.
For candidates who want additional study tools, STC's Premier package adds on-demand video lectures, flashcards, progress exams, and Greenlight Exams designed to assess exam readiness, as well as STC's Pass Guarantee. STC estimates approximately 35-40 hours of preparation for the Series 4 and provides six months of access, making the program flexible for professionals preparing around a work schedule. The program is well-suited for traditional learners who appreciate conventional study materials and aids, such as physical textbooks and flashcards. Some test-takers have noted that the quality of the Series 4 course does not match up with other STC offerings.
“I found many questions had substantially different wording and structure compared to practice exams. I used STC and Kaplan. I think STC is very good, Kaplan too, but prefer STC on balance.”
“I used STC as I have for all exams, and the material has been great except for 4. The STC Series 4 material was certainly accurate, but in no way reflective of my draw. After scoring the highest I had for any exam on the practice tests, I felt like I was sitting for the wrong exam.”
Bottom line: STC is a reputable provider for FINRA licensing exam prep, with simple products that appeal to traditional students. However, their Series 4 course doesn't include the advanced features typical of newer programs, and its content doesn't always reflect the official test.
Most customizable: Securities Institute of America Series 4
- Securities Institute of America (SIA) offers Series 4 study materials individually and in bundled sets, giving candidates the flexibility to purchase only the resources they need, exactly when they need them.
- The exclusive "GreenLight Guarantee" promises test-takers a full refund if they pass a GreenLight exam at the end of their program but do not pass the Series 4.
- Exam prep software includes a question bank and simulated exams
- The Complete Self Study Solution bundle offers several tools all in one package
- The TotalGenius! AI instructor, included in the self-study package or available as an add-on, provides instant answers and clarifications
- Pass guarantee
- No live instruction; only on-demand video lectures
- Reviewers believed that SIA's materials were superficial and did not fully align with the official Series 4 content outline
- Physical textbook
- eBook
- Test bank of 750+ questions
- Question and exam reports
- Randomized simulated final exams
- Topic-focused practice exams
- Personal study calendar
- 180-day access period
- Individual resources and bundled packages available (Video Course & Practice Exam Package, Textbook & Exam Prep Test Bank, Complete Exam Prep Course)
The Securities Institute of America (SIA) offers a self-paced Series 4 Complete Exam Prep Course designed to prepare candidates for the FINRA Registered Options Principal exam. The package combines a roughly 300-page study guide with about four hours of video instruction, a 750-question test bank, checkpoint exams, unlimited topic-focused practice exams, and randomized simulated final exams. Students also receive detailed performance reports and a personalized study calendar to help organize their preparation.
SIA's course also includes its GreenLight readiness exam, which candidates can take near the end of their studies to gauge their preparedness for the actual Series 4 exam. The program provides 180 days of online access and includes phone, email, and chat support, as well as SIA's TotalGenius AI tutoring tool. SIA also offers a GreenLight Guarantee under specified conditions, providing a refund if an eligible student passes the GreenLight exam shortly before the Series 4 but subsequently fails the actual exam. Limited reviews of SIA's Series 4 course may suggest it's a less popular provider, though its flexibility can benefit a test-taker seeking to "build their own" study routine.
“I got a year's access to their textbook and eBook, video training classes, test bank, and practice exams. The videos were engaging and clear, as were the written materials. So it was easy to learn and memorize everything. I also really liked their quizzes. I passed both exams on my first try.”
“I don't recommend The Securities Institute of America. I tried their Series 3 for futures study program, and it has many typos and incorrect answers. It has been frustrating because I don't know the right answer. I've reached out to them with no response. I didn't have confidence in what I was learning.”
Bottom line: SIA's modular Series 4 materials and study tools allow learners to select only the resources they need to create a personalized course. Across SIA's catalog, some reviewers feel that the materials lack the depth and rigor necessary for comprehensive test preparation.
Most flexible: ExamFX Series 4
- ExamFX Series 4 provides a variety of study tools, including video lectures, quizzes, customizable exams, and performance tracking, available across packages.
- While learners value the flexible and interactive support, some note that the course is more expensive and less comprehensive than competitors', with exam language and materials occasionally deemed overly verbose.
- Study at your own pace using a personalized Study Plan
- Access a comprehensive selection of digital and printed materials
- Utilize features like SpotCheck quizzes, a custom exam generator, and progress tracking to strengthen learning
- Receive direct support from instructors through phone or online for more structured preparation
- Limited access duration, particularly for the textbook option
- Online instructor support is only included in the higher-tier package
- SpotCheck Quizzes and the eBook are not part of the Textbook package
- Test-takers find ExamFX's course language too complex at times, making practice materials hard to understand
- There is no guarantee you'll pass
- eBook and hard-copy textbook available (eBook only available for online course package)
- Personalized study plan
- Best practice guide
- SpotCheck quizzes (not available in textbook package)
- Glossary and acronyms
- Online flashcards
- Real-time content updates
- Textbook
- Online
ExamFX offers an online, self-paced Series 4 exam preparation course designed to help candidates prepare for FINRA's Registered Options Principal exam. The course uses an interactive learning platform that combines structured reading material with practice questions, quizzes, and simulated exams, allowing students to work through Series 4 concepts on their own schedule and reinforce their understanding as they progress.
ExamFX also emphasizes exam-readiness assessment and targeted review, giving students tools to identify weaker subject areas and focus their remaining study time accordingly. Its online format makes the program particularly suitable for working securities professionals seeking a flexible alternative to a traditional instructor-led course while still receiving structured preparation and practice before taking the Series 4 exam. Learners, however, have emphasized that ExamFX's material can be difficult and dense, with some finding major differences between the actual test and their practice materials.
“The one thing I really like about ExamFX/Training Consultants is the number of cheat sheets it gives you. There's essentially one for every chapter so that I would read through those once or twice per night before bed on top of everything else.”
“[Course material] is written in the same legalese that the questions are…However, the ability to generate test questions on specific chapters and subjects is really good. I feel that helped me a lot. But, you can only use this feature once you've watched all the videos in the course.”
Bottom line: ExamFX's course provides convenience and flexibility, allowing students to work at their own pace using adaptable, customizable study resources. However, some reviewers note that the language used in the course can be harder to understand than in other online study programs.
Why choosing the right test prep course matters
Numerous Series 4 prep options exist, each offering tailored study materials and test support aimed at helping you obtain your Registered Options Principal license. Choosing the right course can be highly beneficial: a structured, all-in-one Series 4 study guide provides focus and strategic insight, boosting your exam performance.
The Series 4 exam evaluates advanced knowledge and supervisory abilities needed for senior roles in the securities industry. Passing it shows that experienced registered representatives possess the expertise and integrity required for supervisory duties. Obtaining this credential allows you to:
- Oversee options activities and sophisticated trading strategies to ensure complete regulatory adherence
- Lead sales teams at a FINRA-registered brokerage firm
- Elevate your career as a prominent financial expert
Although FINRA has not provided an official pass rate for the Series 4 exam, industry estimates suggest it is approximately 60-70%. This statistic highlights the need for high-quality study resources to improve your chances of passing. To achieve the best results, select a Series 4 exam prep program that offers current study materials, interactive practice questions, and supportive assistance throughout your licensing process.
Wrapping up
Many Series 4 exam prep providers are available, each offering a variety of study materials and support to help you pass FINRA's challenging principal-level exam. Choosing the right prep course can be crucial for advancing your financial career. When comparing top-rated Series 4 courses, consider features, content quality, pricing, and overall effectiveness to find the best option for your needs.
More on the Series 4 exam
- Series 4 exam format, content and scoringWhat's tested, how long it takes, what it costs, and the score you need to pass.
- Series 4 FAQThe questions asked most about the exam and preparing for it, answered.