Series 63 Securities License Exam Prep & Requirements

Series 63 Requirements

1. 1. Firm Sponsorship is NOT required
   • To take the Series 63 Exam, you must:
     • — Be 18 years of age
2. 2. Study for Your Series 63 License
   • By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.
3. 3. Complete Your TESS Filing or Form U4
   • If you’re taking the exam independently, you must utilize the Test Enrollment Services System (TESS) to file an exam request with FINRA.
   • If you’re sponsored by a firm, your sponsoring firm will send your completed Form U4 to FINRA.
   • FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.
4. 4. Schedule Your Exam
   • You can schedule to take the exam by contacting the Prometric Testing Center at www.prometric.com/test-takers/search/1finra or through their Contact Center at (800)578-6273.
5. 5. Pass the Series 63
   • After your exam, you’ll receive either a printed copy of your score (if testing onsite) or an email confirmation (if testing remotely).
   • To obtain your Series 63 License, there are no corequisite exams that must be passed.