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- License Requirements
- What is the 'Series 63'. The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. Agents must acquire the Series 63 license, in addition to a Series 7 or Series 6 license, to sell securities.
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The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. To obtain a Series 63 license, the applicant must pass an exam...
Mar 18, 2019 · The Series 63 license is intended to measure an applicant’s knowledge and understanding of state law and regulations. It is required for individuals soliciting the purchase or sale of securities products, such as mutual funds, variable annuities, stocks, or bonds within a state.
Please see the complete message including information about online test delivery. The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA. The exam consists of 60 scored questions. Candidates have 75 minutes to complete the exam.
May 07, 2020 · The Series 63, Uniform Securities Agent, is a license for broker-dealer representatives. The Series 65 license, Uniform Investment Adviser, is for investment adviser representatives, which is anyone who works for an investment advisory company and provides investment-related advice for a fee.
Mar 01, 2021 · The Series 63 is an administrative license that deals primarily in the securities laws that affect securities sales in each state. In order to sell securities or variable insurance in any state in the US, you will need both the Series 6 and Series 63 licenses.
Sometimes called "Blue Sky" laws, the Series 63 license qualifies you to sell securities across state lines. The Series 63 examination is a national test so it does not vary by state. To obtain a Series 63 license, you must possess knowledge of ethical practices and fiduciary obligations.