Series 63 Exam Prep
Gain the knowledge you need to pass with engaging avatars, concise content, and practice exams. Our online course is built to help you succeed on your state exam the first time.
Becoming a Licensed Securities Professional – Series 63
The Series 63 license is a key requirement for securities professionals who wish to conduct business as broker-dealer agents in most U.S. states. This exam, created by the North American Securities Administrators Association (NASAA) and administered by FINRA, focuses on state-level regulations governing securities transactions. It is required in addition to passing a FINRA representative-level exam, such as the Series 6 or Series 7.
To earn a Series 63 license, candidates must demonstrate a solid understanding of state securities laws, ethical sales practices, and fiduciary responsibilities. This course is designed to provide comprehensive preparation, equipping you with the knowledge necessary to meet exam requirements and ensure compliance with industry regulations. Successfully passing the Series 63 exam is an essential step toward operating as a registered securities professional.
Key Exam Topics:
Uniform Securities Act (USA)
NASAA Model Rules
State registration – persons
State registration – securities
Unethical practices
Prohibited practices
Client funds & securities
Administrative procedures
Regulatory compliance
Enforcement actions
Ace Your Insurance & Securities Exam
Prepare for your Insurance or Securities exam with expert-led courses, state-specific training, and real exam simulations. Pass with confidence and launch your career.
Innovative Course Tools Designed for Your Success
Pre-Licensing Lessons
Exam-Style Quizzes
State-Aligned Curriculum
Interactive Course Tools
Video Learning Modules
Auto-Tracked Progress
Practice Test Mode
Flashcard Reviews
Avatar Video Lessons
Simulated Exam