Series 63 Frequently Asked Questions
How do I register to take the Series 63?
To take the Series 63, a FINRA member firm must file a Form U4 application on your behalf through FINRA’s Central Registration Depository (CRD), or you can file a Form U10 individually. You will have to get fingerprinted and answer a lengthy set of questions about your background. Individuals filing Form U10 will also need to meet the requirements of the regulatory authority they are registering with.
What does passing the Series 63 qualify me to do?
Passing the NASAA Series 63 exam qualifies you to sell securities within a state. You may need to pass the Series 6, 7, 62, 79 or 82 as well to be fully registered.
What score do I need to pass the exam?
A score of 72% is required for passing.
Note: Scores are rounded down to the lowest whole number, so a 71.9% would be a final score of 71%—not a passing score for the Series 63 exam.
How many questions are on the exam?
There are 60 scored and 5 unscored questions. The 5 unscored questions are randomly distributed, so test takers do not know which questions are not scored