A Series 63 license allows these professionals to sell securities in a specific state. The applicant must pass an exam which also requires a display of ethical practices and fiduciary duties. However, the goal of this license is to help states approve candidates to operate as securities representatives within their own boundaries. The Series 63 license, also known as the Uniform Securities Agent license, enables you to sell securities in a particular state. Education. The Content Outline for the Series 63 exam can be found on NASAA's website.. Register with FINRA. Study for Your Series 63 License . What licenses do I need to sell investments through a broker-dealer? Each state's requirements vary for the Series 63 license. Series 65 Exam – NASAA Investment Advisers Law Exam. The Series 63 test includes a 65-question, multiple choice exam. To take the Series 63 Exam, you must: — Be 18 years of age; 2. Firm Sponsorship is NOT required. Fingerprinting; Background Check; A passing grade of 70% or better on the Series 63 exam, administered through Prometric Testing Centers. This is the exam that is needed to facilitate and soliciate securities orders. Passing the Series 65 Exam qualifies a candidate as an investment adviser/investment adviser representative. The Series 63 Exam is administered at Prometric testing centers in the U.S., Canada, Mexico and U.S. territories. 3. Possess a current series 7, series 63, series 65 or 66 or equivalent, Life, Accident and Health Insurance license. The Series 63 license by itself does not permit a licensee to transact any securities business. Series 63 . The Series 63 is a securities license entitling the holder to solicit orders for any type of security in a particular state. The Series 63 exam, known as the Uniform Agent State Law Examination, qualifies individuals as securities agents. Thus, while the Series 6 license exam covers federal regulations, the Series 63 covers state issues. Charleston, SC. In order to become licensed as a registered representative, your firm must file a Uniform Application for Securities Industry Registration or Transfer (U4) on your behalf via FINRA’s CRD system.Individuals working for a non-FINRA firm will file Form U10. Individuals entering the securities industry seeking to transact securities business through a broker-dealer are required to obtain multiple licenses/registrations. Series 63 License. Like the Series 6 license, the Series 63 license was developed by the NASAA. The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. Series 63: Most states require this license for anyone who wants to sell securities within the state. It does not allow a professional to sell securities, but rather, to offer investment advice. Securities registrations – Series 6 and Series 63 (7 & 66 preferred). The Series 63 license, known as the Uniform Securities Agent license, is required by each state and authorizes licensees to transact business within the state. The Series 63 exam, developed by NASAA in cooperation with representatives of the securities industry and administered by FINRA, covers principles of state securities regulations.. The Series 63 license, also known as the Uniform Securities Agent license, enables you to sell securities in a particular state.
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