Series 63 Exam Data by Testing Region

🌎 Series 63 Exam Data by Testing Region

The Series 63 Exam, administered by NASAA, is a state-level securities qualification required in most U.S. states for individuals acting as securities agents. While the exam content is standardized nationwide, pass rates, registration patterns, and demand vary by region. Here’s a breakdown of Series 63 testing trends by region to help you understand where the license is most commonly pursued—and why.

📍 Northeast Region

States: NY, NJ, MA, CT, PA, RI
Trends:

• High volume of test-takers due to dense concentration of broker-dealers and wealth management firms
• Often paired with Series 7 or Series 6 licenses
• Strong compliance oversight requires prompt licensing

Top Roles Requiring Series 63:

• Registered representatives at large wirehouses
• Entry-level analysts in financial advisory roles

📍 Southeast Region

States: FL, GA, NC, SC, VA
Trends:

• Increasing licensing demand in growing financial hubs like Charlotte and Miami
• Many professionals servicing retirees and snowbirds across multiple states
• Use of de minimis exemptions more closely monitored

Common Candidate Profiles:

• Hybrid advisors affiliated with broker-dealer and RIA firms
• Insurance professionals adding securities to their offering

📍 Midwest Region

States: IL, OH, MI, WI, MN
Trends:

• Strong regional broker-dealer presence
• High demand for dual-registered advisors
• Emphasis on compliance with both state and federal standards

Exam Strategy:

• Series 63 + Series 6 for bank channel advisors
• Series 63 + Series 7 for full-service brokerage professionals

📍 Southwest Region

States: TX, AZ, NM, OK
Trends:

• Rapid expansion of financial firms in Texas (Houston, Dallas)
• Many independent advisors seeking Series 63 for legal compliance
• Local regulators actively enforce Uniform Securities Act provisions

Key Insight:

• Higher success rates seen among test-takers with Series 7 background
• Firms often require Series 63 for cross-state sales activity

📍 West Coast Region

States: CA, WA, OR, NV
Trends:

• California has one of the highest concentrations of Series 63 registrants
• Technology and wealth management firms often combine 63 with 65 or 66
• Regulatory scrutiny is high in Silicon Valley and Los Angeles markets

Typical Test-Takers:

• Tech-sector financial professionals
• Independent contractors for broker-dealers
• Dual-role advisors with Series 7 and 66

📈 National Patterns

🚀 Get Region-Specific Exam Prep

Whether you’re testing in New York, Florida, Texas, or California, prepare with confidence using our Series 63 exam prep tailored for your market at
👉 finra-exam-mastery.com

✔ Updated content based on national and regional licensing trends
✔ Full-length practice exams
✔ Lifetime access to all future updates

Start mastering the Series 63 and meet your state’s regulatory standards—no matter where you’re based.