Jobs That Require the Series 63 License

💼 Jobs That Require the Series 63 License

The Series 63 license — officially known as the Uniform Securities Agent State Law Examination — is essential for anyone who wants to sell securities and work with clients across U.S. states. While it’s often paired with other licenses like Series 6 or Series 7, the Series 63 plays a distinct and crucial role in establishing state-level compliance.

Here’s a detailed look at the careers and roles that require the Series 63 license.

📈 1. Financial Advisor

✅ Role: Help clients build investment portfolios, manage retirement accounts, and plan for future financial goals.
✅ Why Series 63 is Required: Advisors must comply with state securities laws when recommending or selling investment products.

🏦 2. Broker-Dealer Registered Representative

✅ Role: Execute securities trades on behalf of retail and institutional clients.
✅ Why Series 63 is Required: Most broker-dealers require reps to hold a Series 7 (for product sales) plus Series 63 (for state authorization).

📊 3. Wealth Manager

✅ Role: Provide holistic financial planning and asset management for high-net-worth individuals and families.
✅ Why Series 63 is Required: Wealth managers selling securities products or advising on investments across multiple states need the Series 63 to comply with state regulations.

🏢 4. Investment Sales Representative

✅ Role: Specialize in selling mutual funds, variable annuities, and insurance-related investment products.
✅ Why Series 63 is Required: Even limited product representatives (e.g., those holding a Series 6) need the Series 63 to legally sell across states.

🔍 5. Institutional Salesperson

✅ Role: Work with pension funds, corporations, and large institutional clients to facilitate securities sales and portfolio services.
✅ Why Series 63 is Required: Despite focusing on large clients, state laws still apply when offering securities services.

🧑‍💼 6. Private Client Associate

✅ Role: Junior role supporting senior financial advisors by helping manage client onboarding, investment strategies, and compliance tasks.
✅ Why Series 63 is Required: Direct involvement in recommending or discussing securities with clients requires appropriate licensing.

⚖️ 7. Insurance Agent Selling Variable Products

✅ Role: Sell variable life insurance and variable annuity products.
✅ Why Series 63 is Required: Variable products are classified as securities, requiring both insurance licensing and Series 6/63 licensing.

📚 Quick Summary: Who Needs Series 63?

🚀 Get Licensed and Get Hired

The Series 63 is a critical stepping stone to launching a career in the financial industry. Whether you’re entering client-facing roles or supporting advisory teams, this license ensures you meet state-level legal requirements.

Prepare with expert-guided study plans, flashcards, and practice exams at:
👉 finra-exam-mastery.com