Series 63: Net Capital Requirements

Taken from our Series 63 Online Guide

Net Capital Requirements

As with investment advisers, broker-dealers are required by states to meet net capital requirements both prior to registration and at all times while their registration remains active. Unlike the simpler investment adviser’s requirements, however, the broker-dealer capital requirements use complex formulas that go beyond the scope of the Series 63 exam. It’s sufficient to know that broker-dealers are subject to substantial net capital re

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I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

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Maricella Tenorio Bocangel, New York Life, New York, NY