Frequently Asked Question

February 26 2009  |  Filed Under » , , , , , , , , ,

Which States do not require a Representative to write the Series 63 exam?

The Financial Industry Regulatory Authority (FINRA), (formerly the National Association of Securities Dealers), indicates on their SRO/state fee schedule that the following state jurisdictions do not require a licensed professional to complete the Series 63 exam:
  • Colorado
  • District of Columbia
  • Florida
  • Louisiana
  • Maine
  • Maryland
  • New Jersey
  • Ohio
  • Puerto Rico
  • Vermont
View further details on the SRO/state fee schedule (PDF) Here.
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by

Shauna Carther

Shauna Carther
Shauna Carther is the vice president of content at Investopedia.com. In 2007, she appeared as a guest on Moneytrack, a Public Broadcasting Service program devoted to helping consumers learn to invest and take control of their finances.
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