Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

Agents are not subject to as many post-registration requirements as the broker-dealers they represent, but they are expected to help their broker-dealers meet all recordkeeping requirements and comply with all audits as needed. Agents are responsible for meeting any conditions for ongoing registration set by their state, however, and providing any documentation needed as evidence of meeting such conditions.

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I took the 6 and 63. I passed the 6 with a 90% and the 63 with an 87%. I used the test simulator for both and it was a tremendous help. I was actually studying using a different book and I wasn't getting enough info. The Test Simulator was key. It threw the questions at me in a different way which was similar to the actual test. I don't think I would have passed without it. THANKS!

Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA

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Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA

I just wanted to say thank you! Thank you! Thank you! I had taken the 63 and failed and was quite discouraged. I happened to come across your book and iPhone app and I just passed [the Series 63] yesterday with an 83 ... a 15 pt difference than the last time I took it. I can not recommend your materials enough!

Julia Smith, RBC Wealth Management

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Sara Hays, State Farm. Atascadero, CA

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