A:

There are no prerequisites to register for the Series 63 exam. However, once you have registered for the exam, you must schedule your exam within the 120-day window provided by the Financial Industry Regulatory Authority (formerly known as the National Association of Securities Dealers or NASD).



It is important to note that successfully completing an exam doesn't mean that you are licensed. Successful completion of an exam enables an individual to begin the licensing process. Depending on your job description, you may need to also complete the Series 7 exam before you are eligible to become licensed.





Comparing the Series 7 and Series 63 Exams | Credio



RELATED FAQS
  1. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

    Becoming an investment adviser representative requires more examination than just taking the FINRA Series 63 exam. See what ... Read Answer >>
  2. What certification series does one need to be a bond broker?

    One major requirement before one can become a bond broker is to pass the General Securities Representative Exam, commonly ... Read Answer >>
  3. Do I need to be sponsored or employed by a member firm in order to write the Series ...

    You do not need to be sponsored by a member firm in order to write the Series 66 exam. However, it is important to remember ... Read Answer >>
  4. What are the differences between the Series 6 exam and the Series 7 exam?

    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ... Read Answer >>
  5. How many people fail the series 63 exam every year?

    How many stock brokers failed the Series 63 exam before they passed successfully? Here is what you need to know before taking ... Read Answer >>
  6. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ... Read Answer >>
Related Articles
  1. Professionals

    Exam Details

    Basic information on the Series 6 exam
  2. Term

    What is the Series 66?

    The Series 66 exam is one of two tests required to register as both a securities agent and an investment advisor.
  3. Professionals

    Introduction

    Series 62 - Section 1 - Equity Securities - Introduction
  4. Chapters 1-3

    The series 99 exam qualifies a person to perform covered functions in the operations department of their employing broker dealer. It is recommended that candidates spend at least 50 hours preparing ...
  5. Chapter 1: Broker Office Procedures

    The series 24 exam is one of the most challenging tests administered by FINRA. It is recommended that candidates spend at least 70 hours preparing for the exam . The series 24 material has been ...
  6. Professionals

    Series 6 Exam Prep: What Is A Security?

    Before you take the series 6, you need to understand what a security is as defined by the exam.
  7. Professionals

    Introduction To The Series 65 Exam

    The Series 65 is required in many states in order to be a fee-based advisor. Find out what it is and whether you need it.
  8. Professionals

    Introduction

    Series 6 Section 1 Exam Details, introduction
  9. Professionals

    Series 65 Exam Prep: The Investment Advisor

    Before you take the series 65, you need to understand who is an investment advisor as defined by the exam.
  10. Professionals

    Series 7 Exam Prep: Options

    One of the most challenging topics in the series 7 exam is options. Find out what you need to know before you take the test.
RELATED TERMS
  1. Series 66

    An exam administered by the Financial Industry Regulatory Authority ...
  2. Series 34

    An exam required for individuals seeking to engage in off-exchange ...
  3. Series 86/87

    An exam administered by the Financial Industry Regulatory Authority ...
  4. Series 24

    A securities license entitling the holder to supervise and manage ...
  5. Series 4

    A securities license entitling the holder to supervise options ...
  6. Series 23

    An exam offered by the Financial Industry Regulatory Authority ...

You May Also Like

Hot Definitions
  1. Return On Invested Capital - ROIC

    A calculation used to assess a company's efficiency at allocating the capital under its control to profitable investments. ...
  2. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  3. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  4. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  5. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  6. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
Trading Center