{"id":4475,"date":"2025-05-09T10:09:10","date_gmt":"2025-05-09T18:09:10","guid":{"rendered":"https:\/\/mcclatchymhstg.wpenginepowered.com\/sabe-careers-education\/?p=4475"},"modified":"2025-11-05T07:55:25","modified_gmt":"2025-11-05T15:55:25","slug":"what-is-the-series-63-license","status":"publish","type":"post","link":"https:\/\/www.sacbee.com\/careers-education\/what-is-the-series-63-license\/","title":{"rendered":"What is the Series 63 License, and Who Needs One?"},"content":{"rendered":" <p class=\"wp-block-paragraph\">If you\u2019re thinking about joining over<a href=\"https:\/\/www.bls.gov\/iag\/tgs\/iag50.htm#about\"> 9 million<\/a> Americans in the financial services industry, you\u2019ve probably come across the Series 63 license. It\u2019s one of those requirements that sounds like bureaucratic nonsense, and hey, I get it! But it\u2019s actually a pretty big deal if you want to sell securities or mutual funds in most U.S. states.<\/p> <p class=\"wp-block-paragraph\">Whether you&#8217;re just starting to explore licensing requirements or already knee-deep in exam prep, this guide will give you a clear view: What is the Series 63 license, what does it cover, and who actually needs it? Let&#8217;s find out.<\/p> <p class=\"custom_key wp-block-paragraph\"><strong>Key Takeaways<\/strong><\/p> <ul class=\"wp-block-list custom_underline\"> <li><strong>Required in Most States:<\/strong> You\u2019ll need the Series 63 to sell securities or mutual funds in most U.S. states.<\/li> <li><strong>Pairs With Other Licenses:<\/strong> The Series 63 doesn\u2019t stand alone\u2014it complements exams like the Series 6 or 7.<\/li> <li><strong>Focused on Ethics and Laws:<\/strong> The exam tests your knowledge of state regulations, fiduciary duty, and proper conduct.<\/li> <li><strong>Short But Sneaky:<\/strong> With just 60 questions, the test isn\u2019t long\u2014but the wording can make it tricky if you don\u2019t prep well.<\/li> <li><strong>A Must for Client-Facing Roles:<\/strong> If you\u2019re advising or selling to clients, most broker-dealers won\u2019t let you start without it.<\/li> <\/ul> <h2 class=\"wp-block-heading\" id=\"h-what-is-the-series-63-license\"><strong>\ud83e\uddfe What Is the Series 63 License?<\/strong><\/h2> <p class=\"wp-block-paragraph\">Let\u2019s start with the basics. The Series 63 license is officially known as the Uniform Securities Agent State Law Exam. It\u2019s required by most states for anyone looking to become a broker dealer representative and legally sell investment products.<\/p> <p class=\"wp-block-paragraph\">It\u2019s developed by NASAA (North American Securities Administrators Association), but the Financial Industry Regulatory Authority (FINRA) handles registration. So, your registration will flow through FINRA\u2019s system even though the license itself is state-based.<\/p> <h2 class=\"wp-block-heading\" id=\"h-what-the-series-63-exam-covers\"><strong>\ud83e\udde0 What the Series 63 Exam Covers<\/strong><\/h2> <p class=\"wp-block-paragraph\">The Series 63 exam isn\u2019t super long or math-heavy, but it does dive deep into the legal and ethical side of working in the securities industry.<\/p> <p class=\"wp-block-paragraph\">Here\u2019s what you\u2019ll be tested on:<\/p> <ul class=\"wp-block-list\"> <li><strong>State securities acts<\/strong> and how they apply to agents<\/li> <li><strong>Fiduciary obligations<\/strong> and acting in a client\u2019s best interest<\/li> <li>Recognizing and avoiding <strong>unethical practices<\/strong><\/li> <li>Handling conflicts of interest and <strong>sales-related disclosures<\/strong><\/li> <li>Administrative rules under the <strong>Uniform Securities Act<\/strong><\/li> <\/ul> <p class=\"wp-block-paragraph\">The exam has 60 scored questions (plus a few unscored pilot ones) and a passing score of 72%. You\u2019ll get 75 minutes to complete it, and it\u2019s a closed book test, meaning no notes, no phone, no help.<\/p> <p class=\"wp-block-paragraph\">What trips people up isn\u2019t the length\u2014it\u2019s the language. The scenarios and questions are often worded in a way that makes you second-guess yourself. That\u2019s why it\u2019s crucial to really <em>understand<\/em> the concepts\u2014not just memorize definitions.<\/p> <figure class=\"wp-block-image aligncenter size-large\"><img loading=\"lazy\" decoding=\"async\" width=\"1024\" height=\"1024\" src=\"https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info-1024x1024.png\" alt=\"reasons to get Series 63\" class=\"wp-image-4476\" srcset=\"https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info-1024x1024.png 1024w, https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info-300x300.png 300w, https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info-150x150.png 150w, https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info-768x768.png 768w, https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info-280x280.png 280w, https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-info.png 1080w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/figure> <h2 class=\"wp-block-heading\" id=\"h-who-needs-the-series-63\"><strong>\ud83d\udcbc Who Needs the Series 63?<\/strong><\/h2> <p class=\"wp-block-paragraph\">So, who\u2019s this license really for?<\/p> <p class=\"wp-block-paragraph\">If you&#8217;re planning to work as a broker dealer representative and sell mutual funds, stocks, bonds, or other securities in most states, the Series 63 is usually required.<\/p> <p class=\"wp-block-paragraph\">You\u2019ll almost always need it <em>in addition to<\/em> another exam, like the Series 6 or Series 7. That\u2019s because those licenses cover product knowledge and sales ability, but the Series 63 ensures you understand state-level securities laws and how to operate ethically.<\/p> <p class=\"wp-block-paragraph\">In other words, if you want to meet securities industry registration requirements and actually talk to clients, this is a box you need to check.<\/p> <p class=\"wp-block-paragraph\">Some firms may also require it if you\u2019re working in a hybrid role as an investment adviser representative, especially if you\u2019re working with accounts that blend advisory and transactional services.<\/p> <p class=\"wp-block-paragraph\">Here\u2019s a quick list of roles that typically require a Series 63:<\/p> <ul class=\"wp-block-list\"> <li>Registered representatives at a FINRA member firm<\/li> <li>Financial professionals who work with individual investors<\/li> <li>Anyone selling mutual funds or other packaged products<\/li> <li>Client-facing reps who recommend or sell investment products<\/li> <\/ul> <h2 class=\"wp-block-heading\" id=\"h-how-it-works-with-other-exams\"><strong>\ud83d\udd01 How It Works With Other Exams<\/strong><\/h2> <p class=\"wp-block-paragraph\">The Series 63 doesn&#8217;t give you the green light to act on your own. It&#8217;s a complementary license\u2014meaning it\u2019s designed to pair with other exams that qualify you to sell specific investment products.<\/p> <p class=\"wp-block-paragraph\">Here are a few common combos:<\/p> <ul class=\"wp-block-list\"> <li><strong>Series 6 + Series 63<\/strong> = Sell mutual funds, variable annuities, and similar products<\/li> <li><strong>Series 7 + Series 63<\/strong> = Sell a broader range of securities, including stocks, bonds, and packaged products<\/li> <li><strong>Series 66 (instead of 63 + 65)<\/strong> = One test that qualifies you for both state-level advisory and transactional roles (as long as you have a Series 7)<\/li> <\/ul> <p class=\"wp-block-paragraph\">So if you&#8217;re already eyeing the Series 6 or 7, just know you&#8217;ll probably need the Series 63 right alongside it. And if you&#8217;ve already taken the 6 or 7, you&#8217;re in luck!<\/p> <p class=\"wp-block-paragraph\">One<a href=\"https:\/\/www.reddit.com\/r\/Series7exam\/comments\/1f0wue0\/comment\/lk08cs5\/?utm_source=share&amp;utm_medium=web3x&amp;utm_name=web3xcss&amp;utm_term=1&amp;utm_content=share_button\"> Redditor<\/a> explains,<\/p> <p class=\"wp-block-paragraph\"><em>&#8220;If you passed the 6, the 63 you can definitely pass!! The 6 &amp; 7 is significantly harder.&#8221;<\/em><\/p> <h2 class=\"wp-block-heading\" id=\"h-why-the-series-63-matters\"><strong>\ud83e\udde9 Why the Series 63 Matters<\/strong><\/h2> <p class=\"wp-block-paragraph\">At first glance, the Series 63 might look like a boring rules-and-regs exam, but it actually protects both you and your clients.<\/p> <p class=\"wp-block-paragraph\">It teaches you how to spot and avoid unethical behavior, handle customer disputes, and maintain proper boundaries when discussing products with clients. This becomes even more important when you&#8217;re juggling conversations about investment objectives, portfolio changes, or harsh market conditions.<\/p> <p class=\"wp-block-paragraph\">It\u2019s also a legal requirement in most states. Without it, you might be able to get hired, but you won&#8217;t be able to sell securities or interact directly with clients.<\/p> <h2 class=\"wp-block-heading\" id=\"h-tips-for-passing-the-series-63\"><strong>\ud83e\udde0 Tips for Passing the Series 63<\/strong><\/h2> <p class=\"wp-block-paragraph\">It\u2019s not the longest or most complex test out there, but the Series 63 still deserves your attention. Here are some ways to make prep smoother:<\/p> <ul class=\"wp-block-list\"> <li><strong>Use quality practice questions.<\/strong> The real test is full of tricky phrasing. <a href=\"https:\/\/www.sacbee.com\/careers-education\/series-63-practice-questions\/\">Series 63 practice questions<\/a> help you get used to how they word things.<\/li> <li><strong>Focus on application, not memorization.<\/strong> Know <em>why<\/em> something is considered unethical or what makes advice inappropriate in context.<\/li> <li><strong>Make a cheat sheet.<\/strong> This is not for test day but for reviewing rules and exceptions, especially anything about registration timelines or fiduciary roles.<\/li> <li><strong>Study in short bursts.<\/strong> You don\u2019t need to cram. A few weeks of consistent 30-minute sessions can do the trick.<\/li> <li><strong>Invest in a review course<\/strong>. <a href=\"https:\/\/www.sacbee.com\/careers-education\/best-series-63-exam-prep-courses\/\">Series 63 prep courses<\/a> will help you study efficiently and pas if you put in the time<\/li> <\/ul> <h2 class=\"wp-block-heading\" id=\"h-final-thoughts\"><strong>\u2705 Final Thoughts<\/strong><\/h2> <p class=\"wp-block-paragraph\">If you want to build a real career in finance\u2014especially in sales or client-facing roles\u2014the Series 63 license is a must-have. It may not be flashy, but it\u2019s critical for legally working with clients, understanding your fiduciary obligations, and staying on the right side of state securities regulation.<\/p> <p class=\"wp-block-paragraph\">Paired with your product license, it opens the door to honest conversations with clients and a solid start in the financial services industry. And once you\u2019re licensed? You\u2019ll be equipped to not just sell, but to sell responsibly, ethically, and with confidence.<\/p> <h2 class=\"wp-block-heading\" id=\"h-faqs\"><strong>FAQs<\/strong><\/h2> <div class=\"schema-faq wp-block-yoast-faq-block\"><div class=\"schema-faq-section\" id=\"faq-question-1746686551357\"><strong class=\"schema-faq-question\"><strong>What does the Series 63 qualify you for?<\/strong><\/strong> <p class=\"schema-faq-answer\">It allows you to legally sell securities and handle client transactions at the state level, once paired with another license like the Series 6 or 7.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1746686563327\"><strong class=\"schema-faq-question\"><strong>How hard is it to get a Series 63 license?<\/strong><\/strong> <p class=\"schema-faq-answer\">The exam isn\u2019t the most difficult, but it requires serious focus on legal language, ethics, and regulatory rules. Preparation is key to avoiding a retake.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1746686567708\"><strong class=\"schema-faq-question\"><strong>How much money can you make with a Series 63 license?<\/strong><\/strong> <p class=\"schema-faq-answer\">It depends on your role, but financial professionals with a Series 63 often earn $50,000 to $100,000+. The higher end applies to license holders working in commission-based sales roles or management.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1746686572932\"><strong class=\"schema-faq-question\"><strong>What is the difference between the <a href=\"https:\/\/www.sacbee.com\/careers-education\/series-63-vs-7\/\">Series 63 and 7 licenses<\/a>?<\/strong><\/strong> <p class=\"schema-faq-answer\">The Series 7 lets you sell a broad range of investment products. The Series 63 ensures you&#8217;re compliant with state laws and ethical practices while doing so.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1746686592100\"><strong class=\"schema-faq-question\"><strong>Is the Series 6 or 63 harder?<\/strong><\/strong> <p class=\"schema-faq-answer\">Most people find the Series 6 harder because it covers more financial products. The Series 63 is shorter, but can be trickier due to legal terminology.<\/p> <\/div> <\/div> ","protected":false},"excerpt":{"rendered":"<p>If you\u2019re thinking about joining over 9 million Americans in the financial services industry, you\u2019ve probably come across the Series 63 license. It\u2019s one of those requirements that sounds like bureaucratic nonsense, and hey, I get it! But it\u2019s actually a pretty big deal if you want to sell securities or mutual funds in most [&hellip;]<\/p> ","protected":false},"author":11,"featured_media":4477,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[3,244],"tags":[],"class_list":["post-4475","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-careers-education","category-finance"],"acf":{"external_author":[129],"external_editor":"","select_template":"default","not_show_feature_image":false,"hide_toc":false},"featured_image_src":"https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-feature-image-768x427.png","author_info":{"display_name":"","author_link":"https:\/\/www.sacbee.com\/careers-education\/author\/"},"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.7 (Yoast SEO v27.7) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>What is the Series 63 License, and Who Needs One?<\/title>\n<meta name=\"description\" content=\"Wondering what the Series 63 license is and who needs it? Learn what it qualifies you for, how the exam works, and why it&#039;s a must in finance.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.sacbee.com\/careers-education\/what-is-the-series-63-license\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"What is the Series 63 License, and Who Needs One?\" \/>\n<meta property=\"og:description\" content=\"Wondering what the Series 63 license is and who needs it? Learn what it qualifies you for, how the exam works, and why it&#039;s a must in finance.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.sacbee.com\/careers-education\/what-is-the-series-63-license\/\" \/>\n<meta property=\"og:site_name\" content=\"Sacramento Bee - Careers &amp; Education\" \/>\n<meta property=\"article:published_time\" content=\"2025-05-09T18:09:10+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2025-11-05T15:55:25+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.sacbee.com\/careers-education\/wp-content\/uploads\/sites\/6\/2025\/05\/What-is-the-Series-63-License-feature-image.png\" \/>\n\t<meta property=\"og:image:width\" content=\"1600\" \/>\n\t<meta property=\"og:image:height\" content=\"889\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"7 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/\"},\"author\":{\"name\":\"\",\"@id\":\"\"},\"headline\":\"What is the Series 63 License, and Who Needs One?\",\"datePublished\":\"2025-05-09T18:09:10+00:00\",\"dateModified\":\"2025-11-05T15:55:25+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/\"},\"wordCount\":1273,\"image\":{\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/wp-content\\\/uploads\\\/sites\\\/6\\\/2025\\\/05\\\/What-is-the-Series-63-License-feature-image.png\",\"articleSection\":[\"Careers &amp; Education\",\"Finance\"],\"inLanguage\":\"en-US\"},{\"@type\":[\"WebPage\",\"FAQPage\"],\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/\",\"url\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/\",\"name\":\"What is the Series 63 License, and Who Needs One?\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/#primaryimage\"},\"image\":{\"@id\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/what-is-the-series-63-license\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/www.sacbee.com\\\/careers-education\\\/wp-content\\\/uploads\\\/sites\\\/6\\\/2025\\\/05\\\/What-is-the-Series-63-License-feature-image.png\",\"datePublished\":\"2025-05-09T18:09:10+00:00\",\"dateModified\":\"2025-11-05T15:55:25+00:00\",\"author\":{\"@id\":\"\"},\"description\":\"Wondering what the Series 63 license is and who needs it? 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