{"id":27281,"date":"2020-10-19T14:22:16","date_gmt":"2020-10-19T14:22:16","guid":{"rendered":"https:\/\/www.stcusa.com\/?page_id=27281"},"modified":"2024-11-05T20:04:27","modified_gmt":"2024-11-05T20:04:27","slug":"series-4-license-requirements","status":"publish","type":"page","link":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/","title":{"rendered":"Series 4 License"},"content":{"rendered":"<p>[vc_row content_placement=&#8221;top&#8221; css=&#8221;.vc_custom_1590780929919{margin-right: 10% !important;margin-bottom: 0px !important;margin-left: 10% !important;padding-bottom: 0px !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column css=&#8221;.vc_custom_1585623346716{margin-bottom: 0px !important;padding-bottom: 0px !important;}&#8221;]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><div class=\"single-column-container content-aligned-left border-none\"><header class=\"module-heading\"><h1 class=\"section-title  no-color\">Series 4 Securities License Exam Prep &amp; Requirements<\/h1><\/header>\n<div class=\"column-content\">\n<h2>Series 4 License Requirements:<\/h2>\n<ol id=\"Steps\" class=\"normal\" style=\"list-style-type: none\">\n<li class=\"normal\"><strong>1. Find a Sponsoring Firm <\/strong>\n<ul class=\"normal\">\n<li class=\"normal\"><span class=\"s2\">To take the Series 4 Exam, you must:<\/span>\n<ul class=\"normal\">\n<li class=\"normal\"><span class=\"s2\">\u2014 Be associated with and sponsored by a member firm<\/span><\/li>\n<li class=\"normal\"><span class=\"s2\">\u2014 Be 18 years of age<\/span><\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<\/li>\n<li class=\"normal\"><strong>2. Study for Your Series 4 License <\/strong>\n<ul class=\"normal\">\n<li class=\"normal\"><span class=\"s2\">By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.<\/span><\/li>\n<\/ul>\n<\/li>\n<li class=\"normal\"><strong>3. <\/strong><span class=\"s2\"><b>Complete Form U4<\/b><\/span>\n<ul class=\"normal\">\n<li class=\"normal\"><span class=\"s2\">On your behalf, your sponsoring firm will send your completed Form U4 to FINRA.<\/span><\/li>\n<li class=\"normal\"><span class=\"s2\">FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.<\/span><\/li>\n<\/ul>\n<\/li>\n<li class=\"normal\"><strong>4. <\/strong><span class=\"s2\"><b>Schedule Your Exam<\/b><\/span>\n<ul class=\"normal\">\n<li class=\"normal\"><span class=\"s2\">You can schedule to take the exam by contacting the Prometric Testing Center at <a href=\"http:\/\/www.prometric.com\/test-takers\/search\/1finra\"><span class=\"s3\">www.prometric.com\/test-takers\/search\/1finra<\/span><\/a> or through their Contact Center at (800)578-6273.<\/span><\/li>\n<\/ul>\n<\/li>\n<li class=\"normal\"><strong>5. <\/strong><b><\/b><span class=\"s2\"><b>Pass the Series 4<\/b><\/span>\n<ul class=\"normal\">\n<li class=\"normal\"><span class=\"s2\">After your exam, you\u2019ll receive a printed copy of your score.<\/span><\/li>\n<li class=\"normal\"><span class=\"s2\">To obtain your Series 4 License, you must also pass both the Securities Industry Essentials (SIE) Exam and the Series 7 Exam.<\/span><\/li>\n<\/ul>\n<\/li>\n<\/ol>\n<div class=\"section-content col-12\"><\/div>\n<\/div>\n\t\t<a href=\"https:\/\/www.stcusa.com\/securities\/licensing\/us\/series-4\/\" class=\"button ghost color-stc-purple \"><span class=\"button-text\">Purchase Exam Prep<\/span><\/a>\n\t[vc_column_text]<\/p>\n<p>[\/vc_column_text]<\/div><div class=\"single-column-container border-none\">\n<div class=\"column-content\">\n<p style=\"text-align: left;padding-left: 80px\">Get your Series 4 License with STC:<\/p>\n<p><video class=\"wp-video\" src=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2020\/05\/STC-Is-All-About-Pass-Rates-and-Student-Success.mp4\" controls=\"controls\" width=\"500\" height=\"auto\"><\/video><\/p>\n<p style=\"padding-left: 80px;text-align: left\">Over 1,500,000 people have used STC to pass their securities licensing exams. With more than 50 years of experience, STC\u2019s pass rate on the Series 4 Licensing Exam is higher than the national average.<\/p>\n<\/div>\n[vc_btn title=&#8221;PURCHASE EXAM PREP&#8221; style=&#8221;custom&#8221; custom_background=&#8221;#263273&#8243; custom_text=&#8221;#ffffff&#8221; shape=&#8221;square&#8221; link=&#8221;url:https%3A%2F%2Fwww.stcusa.com%2Fsecurities%2Flicensing%2Fus%2Fseries-4%2F||target:%20_blank|&#8221; el_class=&#8221;button button-text&#8221;][vc_empty_space height=&#8221;65%&#8221;]<\/div><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section>[\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1585623399568{margin-top: 0px !important;margin-right: 10% !important;margin-left: 10% !important;padding-top: 0px !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; el_id=&#8221;howlong&#8221;][\/vc_row][vc_column css=&#8221;.vc_custom_1585623380689{margin-top: 0px !important;padding-top: 0px !important;}&#8221;][\/vc_column]<section class=\"multi-column-section no-color\"><div class=\"multi-column-section-content\"><div class=\"columns-container\"><\/div><!-- .columns-container --><\/div>\n    <script>\n    jQuery(window).load(function() {\n        var maxHeight = -1;\n\n   if ( jQuery(window).width() > 768) {\n   jQuery('.pro-p').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.pro-p').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\t}\n\n   jQuery('.narrowcardH').each(function() {\n     maxHeight = maxHeight > jQuery(this).height() ? maxHeight : jQuery(this).height();\n   });\n   jQuery('.narrowcardH').each(function() {\n     jQuery(this).height(maxHeight);\n   });\n\n\n\n\n   });\n\n\n    <\/script><\/section><div class=\"single-column-container content-aligned-left border-none\"><\/div>[vc_row][vc_column][\/vc_column][\/vc_row]<\/p>\n","protected":false},"excerpt":{"rendered":"<p>[vc_row content_placement=&#8221;top&#8221; css=&#8221;.vc_custom_1590780929919{margin-right: 10% !important;margin-bottom: 0px !important;margin-left: 10% !important;padding-bottom: 0px !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221;][vc_column css=&#8221;.vc_custom_1585623346716{margin-bottom: 0px !important;padding-bottom: 0px !important;}&#8221;][\/vc_column][\/vc_row][vc_row css=&#8221;.vc_custom_1585623399568{margin-top: 0px !important;margin-right: 10% !important;margin-left: 10% !important;padding-top: 0px !important;}&#8221; bg_color_overlay=&#8221;no-color&#8221; bg_color_overlay_bottom=&#8221;no-color&#8221; el_id=&#8221;howlong&#8221;][\/vc_row][vc_column css=&#8221;.vc_custom_1585623380689{margin-top: 0px !important;padding-top: 0px !important;}&#8221;][\/vc_column][vc_row][vc_column][\/vc_column][\/vc_row]<\/p>\n","protected":false},"author":68,"featured_media":0,"parent":29587,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-27281","page","type-page","status-publish","hentry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.9 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Series 4 Securities License Exam Requirements | STC<\/title>\n<meta name=\"description\" content=\"Understand the Series 4 licensing requirements to become an Options Principal. Prepare for the Series 4 exam with STC\u2019s expert training and comprehensive study resources.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Series 4 Securities License Exam Requirements | STC\" \/>\n<meta property=\"og:description\" content=\"Understand the Series 4 licensing requirements to become an Options Principal. Prepare for the Series 4 exam with STC\u2019s expert training and comprehensive study resources.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/\" \/>\n<meta property=\"og:site_name\" content=\"Securities Training Corporation\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/stcusa\/\" \/>\n<meta property=\"article:modified_time\" content=\"2024-11-05T20:04:27+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2018\/09\/STC_Logo_Stacked_RGB_1C.png\" \/>\n\t<meta property=\"og:image:width\" content=\"568\" \/>\n\t<meta property=\"og:image:height\" content=\"207\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:site\" content=\"@stcseries7\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"2 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/\",\"url\":\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/\",\"name\":\"Series 4 Securities License Exam Requirements | STC\",\"isPartOf\":{\"@id\":\"https:\/\/www.stcusa.com\/#website\"},\"datePublished\":\"2020-10-19T14:22:16+00:00\",\"dateModified\":\"2024-11-05T20:04:27+00:00\",\"description\":\"Understand the Series 4 licensing requirements to become an Options Principal. Prepare for the Series 4 exam with STC\u2019s expert training and comprehensive study resources.\",\"breadcrumb\":{\"@id\":\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/\"]}]},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/www.stcusa.com\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Securities\",\"item\":\"https:\/\/www.stcusa.com\/securities\/\"},{\"@type\":\"ListItem\",\"position\":3,\"name\":\"Licensing\",\"item\":\"https:\/\/www.stcusa.com\/securities\/licensing\/\"},{\"@type\":\"ListItem\",\"position\":4,\"name\":\"Series 4 License\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.stcusa.com\/#website\",\"url\":\"https:\/\/www.stcusa.com\/\",\"name\":\"Securities Training Corporation\",\"description\":\"\",\"alternateName\":\"STC\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/www.stcusa.com\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-US\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Series 4 Securities License Exam Requirements | STC","description":"Understand the Series 4 licensing requirements to become an Options Principal. Prepare for the Series 4 exam with STC\u2019s expert training and comprehensive study resources.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/","og_locale":"en_US","og_type":"article","og_title":"Series 4 Securities License Exam Requirements | STC","og_description":"Understand the Series 4 licensing requirements to become an Options Principal. Prepare for the Series 4 exam with STC\u2019s expert training and comprehensive study resources.","og_url":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/","og_site_name":"Securities Training Corporation","article_publisher":"https:\/\/www.facebook.com\/stcusa\/","article_modified_time":"2024-11-05T20:04:27+00:00","og_image":[{"width":568,"height":207,"url":"https:\/\/www.stcusa.com\/wp-content\/uploads\/2018\/09\/STC_Logo_Stacked_RGB_1C.png","type":"image\/png"}],"twitter_card":"summary_large_image","twitter_site":"@stcseries7","twitter_misc":{"Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/","url":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/","name":"Series 4 Securities License Exam Requirements | STC","isPartOf":{"@id":"https:\/\/www.stcusa.com\/#website"},"datePublished":"2020-10-19T14:22:16+00:00","dateModified":"2024-11-05T20:04:27+00:00","description":"Understand the Series 4 licensing requirements to become an Options Principal. Prepare for the Series 4 exam with STC\u2019s expert training and comprehensive study resources.","breadcrumb":{"@id":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.stcusa.com\/securities\/licensing\/series-4-license-requirements\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.stcusa.com\/"},{"@type":"ListItem","position":2,"name":"Securities","item":"https:\/\/www.stcusa.com\/securities\/"},{"@type":"ListItem","position":3,"name":"Licensing","item":"https:\/\/www.stcusa.com\/securities\/licensing\/"},{"@type":"ListItem","position":4,"name":"Series 4 License"}]},{"@type":"WebSite","@id":"https:\/\/www.stcusa.com\/#website","url":"https:\/\/www.stcusa.com\/","name":"Securities Training Corporation","description":"","alternateName":"STC","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.stcusa.com\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"}]}},"_links":{"self":[{"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/pages\/27281"}],"collection":[{"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/users\/68"}],"replies":[{"embeddable":true,"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/comments?post=27281"}],"version-history":[{"count":2,"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/pages\/27281\/revisions"}],"predecessor-version":[{"id":30302,"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/pages\/27281\/revisions\/30302"}],"up":[{"embeddable":true,"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/pages\/29587"}],"wp:attachment":[{"href":"https:\/\/www.stcusa.com\/wp-json\/wp\/v2\/media?parent=27281"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}