Series 63 (Uniform Securities Agent) Requirements & Prerequisites
Everything you need to know before registering for the Series 63 (Uniform Securities Agent), eligibility, cost, format, and what to expect on exam day.
Cost
$147
Provider
NASAA/FINRA
Validity
Ongoing
Available
USA
Education
Check official exam requirements
Experience
6-12 months of relevant experience recommended
Specific Requirements
- There is no prerequisite exam for the Series 63 itself. NASAA allows unsponsored candidates to enrol and pay directly.
- You do not need a sponsoring firm. Candidates not registered on a Form U4 can open an enrollment window through FINRA's Test Enrollment Services System (TESS) and pay the $147 fee.
- In practice most states require the Series 63 in addition to the FINRA exams that apply to your role, which for a general securities representative means the Securities Industry Essentials exam and the Series 7.
- Passing the exam is not a licence. A state may still require an application on Form U4, a background check, bonding and fee payment before granting registration.
- Once the enrollment is processed, FINRA opens a 120-day window in which the appointment must be taken.
Number of Questions
65 questions on the form: 60 scored plus 5 unscored pretest questions that are not identified
Duration
75 minutes
Question Format
Multiple choice, closed book, Pretest items mixed anywhere into the form and not flagged, Scenario questions on registration status, exemptions and prohibited conduct under the Uniform Securities Act
Passing Requirement
43 of the 60 scored questions. NASAA states the standard as a count of scored items, not a percentage of the 65-question form
How It Is Delivered
Computer-based testing at Prometric test centers. NASAA states it offers online delivery by accommodation only, and only to candidates who are immunocompromised and at increased risk for severe illness
Languages Offered
English (NASAA does not publish another language version of the Series 63)
Visit the official NASAA/FINRA certification page
Create an account and select your exam
Choose a test center or online proctoring option
Pay the exam fee and schedule your date
- Two forms of valid ID (one government-issued with photo)
- Appointment confirmation email
- For online proctoring: webcam, microphone, clean desk, stable internet
What are the prerequisites for the Series 63 (Uniform Securities Agent)?
There is no prerequisite exam for the Series 63 itself. NASAA allows unsponsored candidates to enrol and pay directly.. You do not need a sponsoring firm. Candidates not registered on a Form U4 can open an enrollment window through FINRA's Test Enrollment Services System (TESS) and pay the $147 fee.. In practice most states require the Series 63 in addition to the FINRA exams that apply to your role, which for a general securities representative means the Securities Industry Essentials exam and the Series 7.. Passing the exam is not a licence. A state may still require an application on Form U4, a background check, bonding and fee payment before granting registration.. Once the enrollment is processed, FINRA opens a 120-day window in which the appointment must be taken..
How much does the Series 63 (Uniform Securities Agent) cost?
The Series 63 (Uniform Securities Agent) exam costs $147. This includes the exam fee only, study materials are additional.
How do I register for the Series 63 (Uniform Securities Agent)?
Visit the official NASAA/FINRA certification page → Create an account and select your exam → Choose a test center or online proctoring option → Pay the exam fee and schedule your date
What should I bring to the Series 63 (Uniform Securities Agent)?
Two forms of valid ID (one government-issued with photo). Appointment confirmation email. For online proctoring: webcam, microphone, clean desk, stable internet.
Ready to prepare for Series 63 (Uniform Securities Agent)?
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