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The Ultimate Guide to Series 63

by Julie Mendel, SILA-A, CDEI | Sep 22, 2022
Guide to Series 63 License

To legally sell securities, an individual must be properly licensed. One of the key licenses is the Series 63. In most states, aspiring financial representatives must pass an exam to earn a Series 63 license.

What is Series 63?

A Series 63 license is received after successfully passing the Uniform Securities Agent State Law Exam. In almost all states – the exceptions are Colorado, Florida, Louisiana, Maryland, Ohio and the District of Columbia – the Series 63 is a companion qualification registration. It does not allow an individual to transact securities business without additional licenses and registrations such as the Securities Industry Essentials (SIE), and at least one other registration (or license) like Series 6, Series 7, or Series 65.

By way of example, a Series 63 license combined with the SIE and the Series 6 (Investment Company and Variable Contracts Products Representative) allows an individual to solicit, purchase and/or sell mutual funds, variable annuities, variable life insurance, unit investment trusts, and municipal fund securities (additional insurance licenses may be required). A Series 63 license combined with the SIE and the Series 7 (General Securities Representative) permits the individual to solicit, purchase, and/or sell all securities products including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts.


In most instances, once a person passes the Series 63 exam, they have two years to become licensed or registered with the state without their registration expiring. Once registered, an individual’s Series 63 does not expire if they continue to work within the industry. If they terminate their employment or otherwise become inactive, they have two years to become re-employed before the registration expires.

The Series 63 Exam

The Uniform Securities Agent State Law Exam also known as the Series 63 exam, is a qualification exam required to receive registration. It is administered by the Financial Industry Regulatory Authority (FINRA) on behalf of the North American Securities Administrators Association (NASAA).

It covers the principles governing state securities regulations as well as the rules surrounding dishonest or unethical practices. To successfully complete the exam, a candidate must be familiar with the Uniform Securities Act and related amendments adopted by NASAA. Despite the name, this act is not a federal law. Instead, it is a set of state laws based on a model and adopted on effected on a state-by-state basis. Therefore, the exam taker should also be familiar with the North American Securities Administrators Association (NASAA) Statement of Policy and Rules.

The exam covers the registration of people and securities as well as fiduciary responsibility and the rules governing unethical practices. There are 60 multiple choice questions. The passing score is 72 percent, or 43 questions. Almost half of the questions have to do with regulations, with the rest relating to ethics, customer communication and administration. NASAA provides an exam content outline on their website with the topics and how many questions to expect on each topic.

How To Prepare for the Series 63 Exam

There are no requirements to complete an exam prep course, however, taking a course can provide candidates with an in-depth review of the exam’s general content and format, optional practice exams, and other study tools.

WebCE can help candidates prepare for the Series 63 exam with our complete Series 63 Exam Prep package. With this package, candidates will receive a study guide that aligns with NASAA’s exam content outline as well as helpful study tools like flash cards, practice exams, and workbooks to make sure they are test day ready.

Our mobile-ready flash cards can assist with understanding of key terms and concepts identified in the NASAA content outline. Exam Tutor, our practice exam study tool, assists candidates in managing their time to ensure they complete the NASAA exam within the allotted 75 minutes. This tool allows individuals to build custom exams to test their knowledge in areas where they feel they need more focused attention.

It is important to know the exam consists of 60 questions with a 75-minute time limit. That means an average of one minute and 15 seconds can be spent per question. It is important not to spend too much time on any one question early in the exam. The candidate who is stumped is advised to move on and come back to the challenging questions at the end.

WebCE’s securities exam prep course packages provide convenient, effective study solutions for passing the Series 63 exam. To order the Series 63 Exam Prep Complete Package and take one step closer to a career in securities, visit our Securities Exam Prep Course Catalog.