📝 Series 63 Registration Process Overview

The Series 63 – Uniform Securities Agent State Law Exam is a foundational requirement for individuals seeking to become licensed securities agents in most U.S. states. If you’re planning to offer securities within a state, passing this exam is a legal necessity — and the first step is understanding the registration process.

This guide outlines every step to help you register for the Series 63 exam confidently and efficiently.

🎯 Who Needs the Series 63?

You need to take the Series 63 exam if you plan to:

• 💼 Sell securities on behalf of a broker-dealer within a state
• 📈 Offer investment products such as stocks, bonds, mutual funds, and variable annuities
• 🧑‍🤝‍🧑 Work in client-facing financial roles involving state securities registration laws

This license is required in addition to exams like Series 6 or Series 7. Series 63 ensures you understand state regulations, fraud prevention, and agent responsibilities.

✅ Eligibility Requirements

• ✔️ Sponsorship Required
  You must be sponsored by a FINRA-member firm (broker-dealer) to register for the exam.
• 📝 Your employer will file Form U4 through the CRD system on your behalf.
• 📍 Once approved, you can schedule your exam through Prometric, FINRA’s official testing partner.

💳 Exam Fee and Scheduling

• 💰 Cost: $147 (paid by your firm when filing Form U4)
• 🗓️ Exam Window: Once registered, you have 120 days to take the exam
• 📍 Test Location: In-person at Prometric centers or remotely via online proctoring (if available)

📘 Exam Overview

• 📑 Name: Series 63 – Uniform Securities Agent State Law Exam
• ❓ Questions: 60 multiple-choice (55 scored, 5 unscored)
• ⏱️ Time Limit: 75 minutes
• 🎯 Passing Score: 72% (40 correct out of 55 scored questions)

📚 What the Exam Covers

• 🏛️ State Securities Acts (Blue Sky Laws)
• 🚫 Fraudulent and Prohibited Practices
• 🧑 Duties and Obligations of Registered Agents
• ⚖️ Regulation of Broker-Dealers and Agents
• ✍️ Ethical Business Conduct and Disclosures
• 🔍 Administrative Provisions and Compliance Procedures

🎓 Ready to prepare with confidence and pass the Series 63 on your first try?
Get expert-designed prep courses, state law summaries, and practice exams at finra-exam-mastery.com – Built for future securities professionals like you.