Series 63 (Uniform Securities Agent State Law)
The standard state-blue-sky-law qualification paired with Series 7; one of the few finance exams that does not require firm sponsorship.
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Sitio web oficial →Fundado
1985
Sede
Washington, DC, USA
Público objetivo
Registered representatives requiring state-level securities-agent registration to transact business with retail clients across US states.
Características principales
- 60 multiple-choice questions (50 scored + 10 pretest), 75 minutes, 72% passing score
- Covers Uniform Securities Act (USA): state regulation, definitions, registration of agents/broker-dealers, anti-fraud provisions, ethical practices
- No FINRA member sponsorship required (vs. Series 7 which does require sponsorship)
- Co-requisite with Series 7 for most retail brokerage roles
- Pass rate: ~75-78%
- Required in all US states for most securities sales activity
Cómo obtener esta certificación
Prerrequisitos
None — open to anyone. No FINRA sponsorship required to sit.
Por qué certificarse — ROI
Impacto salarial
N/A — regulatory qualification, not a career-mobility credential by itself.
Beneficios profesionales
- Lo que la distingue
- The standard state-blue-sky-law qualification paired with Series 7; one of the few finance exams that does not require firm sponsorship.
- Reconocimiento del sector
- NASAA model rule; administered by FINRA under SEC oversight.
Quién debería obtener esta certificación
Ideal para:
- Registered representatives requiring state-level securities-agent registration to transact business with retail clients across US states.
Considere alternativas si:
- Narrow scope — only state securities law, not federal/SEC topics
- Required pairing with Series 7 means it's rarely pursued standalone
Precios
| Concepto | Precio |
|---|---|
| Exam Fee | $147 |
| Currency | USD |
| Study Materials Typical | 100–250 |
| Total Budget Path | 150 |
| Total Premium Path | 400–700 |
| Renewal | Maintained via active state registration; lapses 2 years post-termination |
| As Of | 2025 |
Debilidades
- Narrow scope — only state securities law, not federal/SEC topics
- Required pairing with Series 7 means it's rarely pursued standalone
- Less weight than Series 65/66 for investment-advisor activity (Series 63 covers transaction-based agents only)
Mercados disponibles
US
Aviso: esta página contiene enlaces de afiliados.
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