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How to Get a Series 63 License. Take your time to make sure you know if the question is looking for a true or false answer. When questions ask you to put items in sequential order, pay attention to the order asked. Study for Your Series 63 License . A.D. Banker & Company offers online courses, web classes, practice exams, and self-study books for the Securities Industry Essentials (SIE), Series 6, Series 63, and Series 65 exams. The Series 63 exam covers state securities regulations, ethical practice and fiduciary obligations. Candidates will be allowed 75 minutes to complete the examination. 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. If unsuccessful, the score report will show the actual score. In addition to passing the FINRA exams, candidates in most states must also pass the NASAA Uniform Securities Agent State Law Exam (USASLE), more commonly known as the Series 63 exam. After your exam, you’ll receive either a printed copy of your score (if testing onsite) or an email confirmation (if testing remotely). A.D. Banker & Company offers online courses, web classes, practice exams, and self-study books for the Securities Industry Essentials (SIE), Series 6, Series 63, and Series 65 exams. Over 1,000,000 people have used STC to pass their securities licensing exam. All rights reserved. Check out our Series 6 & 63 Exam Guide. This will allow you to schedule out your studies, and not try to cram near the end of your registration. Getting a Series 63 License The Series 63 is the Uniform Securities Agent State Law Examination (USASLE). Once you have registered with FINRA, you may now schedule a time to take your exam. This is a NASAA (North American Securities Administrators Association) exam that is administered by FINRA (Financial Industry Regulatory Authority). To prepare for the Series 63 exam, you should take a preparation course. We’re not trying to scare you, just attempting to be sure that you are properly prepared for the exam. If you do not pass on the second attempt, there is another 30-day waiting period. Upon passing, your results will show the word PASS, and not include the score. In order to sell securities, a candidate must pass the Series 63 exam as well as the Series 6 or Series 7 exam. Get your Series 7 License … The Series 6 exam follows the 30/30/180 rule. After you have registered, you will have 120 days to sign up for the Series 6 exam. Then look no further! If you have a question that seems completely foreign to you, it’s likely that you can still answer the question if you have completed the study program. All securities exams are delivered by the Prometric testing provider and can be taken anywhere Prometric offers testing. Series 6 is the primary license sought by insurance sales professionals and financial advisors, as it pertains to selling grouped securities that may be tied to insurance products. Refer to our blog post How to get a Series 63 License for more information on this exam. All other trademarks and copyrights are the property of their respective owners. The material you will be studying is not common sense, it is in-depth, data-driven material that can be daunting if not taken seriously. The testing center will provide you with a four-function calculator, and 2 dry-erase boards and pens. The Series 7 and Series 63 licenses are the basic broker licenses, although the Series 63 license is state-specific. In most states, passing this exam is a pre-requisite for being licensed by a state as an agent … To obtain your Series 63 License, there are no corequisite exams that must be passed. Content The Series 63 … Your state will contact your firm within 30 days to notify them of the completion of your registration. You can schedule to take the exam by contacting the Prometric Testing Center at, Once all requirements relating to licensing have been met, the Administrator will issue the license. Schedule your exam on Prometric, or call them at (800) 578-6273. FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam. Firm Sponsorship is NOT required. After your sponsor has enrolled you, they will provide more information about the exam, and a FINRA ID Number. Meet requirements to become licensed by the state securities administrator (if required), 5. The SIE Exam consists of 75 multiple choice questions that have to be answered in 105 minutes (1 hour and 45 minutes). Once your application has been approved, you will be issued a CRD number and will have a 120-day window in which to take and pass your exam. Meeting the exam and registration requirements allows the candidate to be registered with FINRA as a registered representative and licensed at the state level as a broker-dealer agent. You will need to create an account with FINRA. Arrive 30 minutes early to your Prometric location, and bring your FINRA ID Number and any other materials requested. In the event of an unsuccessful attempt, a candidate must wait a minimum of 30 days after failing the first exam before scheduling the second attempt. Now that you’ve passed the Series 6 exam, we assume you will be moving on to the Series 63 license, as you will also need this license to be able to market and sell securities products in your state. You will not be allowed to test if you arrive later than 30 minutes after your appointment start time, and a seat is unavailable to accommodate your full testing time. Simple. Don’t try to make the answer fit. Each of the securities representative-level exams qualifies representatives to engage in a specific set of securities transactions and activities. For Securities pre-license education and study materials, StateRequirement recommends: They offer live and on-demand classes that cover all the information that you need to pass the exam, along with self-study materials for people who are already familiar with securities content.

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