Is Sponsorship Required for the Series 63 Exam?

📝 Is Sponsorship Required for the Series 63 Exam?
Here’s What You Need to Know Before You Register

Unlike many other FINRA exams, the Series 63 Exam does not require sponsorship from a broker-dealer or FINRA-member firm. This makes it one of the more flexible exams for those beginning their journey into securities licensing.

✅ No Sponsorship Needed

You can register for the Series 63 as an individual, without being employed or affiliated with a financial firm. This makes it ideal for:

• Students planning ahead for a future in finance
• Career changers who want to become licensed before applying for jobs
• Individuals preparing for employment at a state-registered or SEC-registered investment firm

📋 How to Register Without Sponsorship

If you’re not affiliated with a firm:

1. Create an account with FINRA’s Test Enrollment Services System (TESS)
2. Submit your application and pay the exam fee (currently $147)
3. Schedule your test at a Prometric testing center within the 120-day window

🧑‍💼 If You Are Sponsored

If you’re already working at a FINRA-member firm, your employer will handle registration through Form U4, and the exam will be added to your licensing path.

🎯 Final Thought

The Series 63 is your gateway to becoming a securities agent in most U.S. states. Whether you’re sponsored or going solo, it’s a smart first step.

Need help preparing? At finra-exam-mastery.com, our full Series 63 prep course gives you lifetime access, targeted quizzes, and expert strategies to pass on your first try.

Start your licensing journey today—no sponsorship required.