Finance License Verification
How to Verify a Series 63 Securities Agent Registration
The Series 63 (Uniform Securities Agent State Law Examination) is administered by NASAA and required in most states for individuals who solicit or sell securities. It is typically held alongside the Series 7 for registered representatives. Here is how to verify Series 63 registration status.
Quick answer
Verify Series 63 registration via FINRA BrokerCheck at brokercheck.finra.org. Search by the individual's name to view all FINRA and NASAA exam passes, current registrations, and disciplinary disclosure history. Series 63 appears under “Registrations” for state securities agent status in each applicable state.
What the Series 63 covers
The Series 63 tests knowledge of the Uniform Securities Act and state securities regulations. Key content areas include:
- State registration requirements for securities, broker-dealers, and investment advisers
- Exemptions from registration under the Uniform Securities Act
- Fraudulent and prohibited practices under state law
- Civil and criminal liabilities and administrative actions
The Series 63 does not by itself authorize securities sales — it is paired with the Series 7 (or other product-specific license) to establish full registration as a securities agent in most states.
Series 63 vs. Series 65 vs. Series 66
| Exam | Purpose | Paired with |
|---|---|---|
| Series 63 | State securities agent registration; required to solicit/sell securities in most states | Series 7 (or other product license) |
| Series 65 | Investment Adviser Representative (IAR) registration; for providing investment advice for compensation | Standalone; no co-req needed |
| Series 66 | Combined state securities agent + IAR; replaces both Series 63 and Series 65 together | Series 7 (required co-req) |
A candidate with Series 7 + Series 66 does not need Series 63 — the 66 covers the state agent function. A candidate with Series 7 + Series 63 is registered as a securities agent but not as an IAR (cannot give investment advice for compensation).
How to verify via FINRA BrokerCheck
- Go to brokercheck.finra.org
- Search by the individual's name
- In the results, navigate to the “Registrations” section — Series 63 will appear alongside other exam passes
- Confirm the individual is currently registered as a securities agent in the relevant state(s)
- Review the “Disclosures” section for any regulatory actions, customer complaints, or termination history
Registration vs. exam passage
Passing the Series 63 exam does not by itself constitute active registration. The individual must be associated with a FINRA member firm and registered in the applicable state(s) through Form U4. BrokerCheck will show both the exam pass and the current registration status — confirm both are in order.
State-specific registration requirements
Most states require Series 63 for securities agents, but a few have different requirements:
- Colorado, Florida, Louisiana, Maryland, Ohio, and a few others: Historically have not required Series 63 for certain registrants or have different state-specific requirements
- All states: Verify the specific state registration status in BrokerCheck under the individual's current registrations
Verification checklist
- 1. Search FINRA BrokerCheck at brokercheck.finra.org by name
- 2. Confirm Series 63 (or Series 66) exam is listed as passed
- 3. Confirm active registration as a securities agent in the applicable state(s)
- 4. Review Disclosures section for regulatory actions, customer complaints, or terminations for cause
- 5. For full securities representative roles: confirm Series 7 (or other product license) is also active
Verify finance program accreditation
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