Reddit
reddit.com › r/series7exam › can someone explain to me ,the differences between the sie, series 7 & 63?
r/Series7exam on Reddit: Can someone explain to me ,the differences between the SIE, Series 7 & 63?
May 11, 2022 - So the SIE in theory should be easier than the Series 7 · The Series 63 is a NASAA Exam, that is administered by FINRA that gives you qualifies you to be a representative in all states that recognize it (which I believe is all of them).
Kaplan Financial Education
kaplanfinancial.com › securities › series-7-63 › exam-details
Series 7 & 63 License Exam Details | Kaplan
The NASAA Series 63, Uniform Securities State Law Exam is required of individuals soliciting the purchase or sale of securities within a state.
Series 7 and 63 securities dealer license questions?? - Bogleheads.org
If it is in the wrong location, please move it. I recently lost my job at a too advanced age and am casting about for a new "career", if there is such a thing anymore. I see openings for customer service rep jobs at financial services outfits that require you to have Series 7 and 63 licenses. More on bogleheads.org
My Journey Through the Unsponsored Licensing Exams: SIE, 63, and 65 - FINRA - Achievable community: GRE, FINRA, AMC, USMLE discussion
As a 23-year-old recent graduate with a Bachelor’s in BA, no prior finance experience (outside of a few courses and some novice crypto investing), and a 4 month internship as a research analyst at an international securities company in Tokyo, I embarked on a journey to break into the financial ... More on talk.achievable.me
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January 6, 2025Can someone explain to me ,the differences between the SIE, Series 7 & 63?
The SIE and Series 7 are both FINRA Licensing Exams. The SIE is more or less a “pre-requisite” for the Series 7, meaning the material you learn for the SIE is more “basic” than the Series 7 and it is built upon further. So the SIE in theory should be easier than the Series 7 The Series 63 is a NASAA Exam, that is administered by FINRA that gives you qualifies you to be a representative in all states that recognize it (which I believe is all of them). Although the tests are in no way affiliated, having knowledge from both the SIE and the Series 7 will make learning the material for the 63 easier I’m sure not all of this is 100% accurate, and someone fell free to correct me, but this is the best way I can think to explain it More on reddit.com
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May 11, 2022CFA level 1 vs. Series 7, 63
lol.
A little overlap not enough that i would recommend doing them simultaneously. Don't fuck up the 7, lots of places will let you go if you fail.
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Ironclad
ironclad.law › series-7-and-series-63
Series 7 and 63: A Side-by-Side Comparison for Aspiring Professionals – Ironclad – Attorneys at Law
Pass this exam, and you’ve earned ... of it as your federal passport to the securities world. Meanwhile, the Series 63 handles the state side of things....
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Miami Herald
miamiherald.com › home › series 63 vs 7: what’s the difference and which is for you?
Series 63 vs 7: What’s the Difference and Which Is for You?
April 8, 2025 - While the Series 7 focuses on a broader range of securities, the Series 63 is a state-specific qualification. Professionals who pass the Series 63 exam are allowed to sell securities within state boundaries and must adhere to the regulatory ...
Investopedia
investopedia.com › articles › financialcareers › 07 › securities_licenses.asp
Understanding Financial Securities Licenses: Series 7, 63, and More
June 3, 2007 - The Financial Industry Regulatory ... in regulating these licenses. Series 7 (general securities representative) and Series 63 (Uniform Securities Agent) are among the commonly pursued licenses....
FINRA
finra.org › registration-exams-ce › qualification-exams
Qualification Exams | FINRA.org
The question of whether a particular person is required to obtain a series 63 license is a specific facts and circumstances analysis, and ultimately would be answered by state law or regulations of each individual state involved.
Fidelity
jobs.fidelity.com › home › life at fidelity › our stories › 5 ways fidelity helps you get series 7 and 63 licensed in the financial services industry
5 ways Fidelity helps you get series 7 and 63 licensed in the financial services industry
Series 7: A license that allows you to sell securities products (excluding commodities and futures). This is also known as the General Securities Representative Qualification Examination (GIS).
Leland
joinleland.com › home › library › investment banking › series 63 vs. series 7 exam: differences, pros/cons, & what to know
Series 63 vs. Series 7 Exam: Differences, Pros/Cons, & What to Know | Leland
July 15, 2025 - For the Series 7 exam, you need a score of at least 72% to pass. If you fail, you must wait 30 days before your next attempt. Failing three times results in a mandatory 180-day waiting period.
Kansascity
kansascity.com › home › series 63 vs series 7: which license do you need?
Series 63 vs Series 7: Which License Do You Need?
November 7, 2025 - Series 7 Covers Federal Laws: Focuses on investment company products, variable contracts, and mutual funds. Series 63 Focuses on State Rules: Tests knowledge of Blue Sky Laws and ethical practices.
NASAA
nasaa.org › exams › exam-faqs
Exam FAQs - NASAA
April 17, 2025 - Most states require an individual to have passed the Series 63 in addition to any exam requirements established by FINRA, such as passing the Securities Industry Essentials exam and the Series 7. Check with the applicable state securities administrator for details on that state’s policies.
FINRA
finra.org › registration-exams-ce › qualification-exams › series7
Series 7 – General Securities Representative Exam | FINRA.org
October 27, 2025 - The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
ABTrainingcenter
abtrainingcenter.com › series-7-and-63-licensing-requirements.asp
Series 7 and 63 Licensing Exam Requirements - 7 & 63 Training
Pass the Series 7 & 63 License exam with online training courses, exam prep materials, and study guides which comply with Series 7 and 63 licensing requirements.
Silvergrovegroup
silvergrovegroup.com › what-do-all-those-licenses-mean
What do all those licenses mean? | Silver Grove Financial Group, Inc.
State Securities Law Exams Series 63 - Uniform Securities Agent State Law Examination In most states, a new registered representative must - at a minimum - pass the Series 63 to satisfy state law registration requirements. The exam focuses on the registration of persons and securities under the USA and ethics in the securities industry.
Financial Planner World
financialplannerworld.com › home › a general overview of finra’s series 6, 7, 63, 65 and 66 exams
A General Overview of FINRA’s Series 6, 7, 63, 65 and 66 Exams | What is a Financial Planner? | What does a Financial Planner do?
September 8, 2022 - Location The Series 7 Exam is administered at Prometric testing centers in the U.S., Canada, Mexico and U.S. territories. The Series 63 Exam (Uniform Securities Agent) is administered in conjunction with the North American Securities Administrators Association (NASAA).
Bakhtiari & Harrison
bhseclaw.com › bakhtiari & harrison › finra series 7 vs series 79: must-know differences to skyrocket your finance career
FINRA Series 7 vs Series 79: Must-Know Differences to Skyrocket Your Finance Career | Bakhtiari & Harrison
September 17, 2025 - Series 63 – Uniform Securities Agent State Law Examination: This license is required for individuals who wish to sell securities across state lines. It primarily focuses on state securities regulations, ethical practices, and fiduciary obligations.
Sacramento Bee
sacbee.com › home › series 63 vs series 7: which license do you need?
Series 63 vs Series 7: Which License Do You Need?
May 30, 2025 - Series 7 Opens More Doors: It qualifies you to sell a wide range of securities, including stocks, bonds, mutual funds, and options. Series 63 Makes It Legal: Even with a Series 7, you’ll usually need the Series 63 to sell in most states—it ...
A.D. Banker
adbanker.com › blog › the-series-6-vs-the-series-7
FINRA Series 6 vs. Series 7: What's the Difference?
To qualify for a Series 7 license, you must pass the the Securities Industry Essential (SIE) exam , the Series 7 exam , and depending on your state, the Series 63 . Like the Series 6, you’ll need to find a sponsoring firm to take the Series 7 exam, and your sponsor will most likely be your ...
Bogleheads.org
bogleheads.org › board index › us investors › personal finance (not investing)
Series 7 and 63 securities dealer license questions?? - Bogleheads.org
PassTrak is also good. Are these 2 licenses primarily a screening mechanism as a driver's license might be, with no particular value other than "you gotta have it"? You must have a Series 7 and Series 63 it you are going to sell investment products and receive a commission.
Achievable
talk.achievable.me › finra
My Journey Through the Unsponsored Licensing Exams: SIE, 63, and 65 - FINRA - Achievable community: GRE, FINRA, AMC, USMLE discussion
January 6, 2025 - As a 23-year-old recent graduate with a Bachelor’s in BA, no prior finance experience (outside of a few courses and some novice crypto investing), and a 4 month internship as a research analyst at an international securities company in Tokyo, I embarked on a journey to break into the financial ...
STC
stcusa.com › home › differences between the finra series 6 exam and series 7 exam
Differences Between FINRA Series 6 Exam and Series 7 Exam | STC
October 17, 2024 - The Series 7 exam is comprehensive, consisting of 125 multiple-choice questions administered over 225 minutes. It evaluates your understanding of a vast array of subjects, including investment risk, taxation, equity and debt instruments, trading procedures, regulatory requirements, and retirement plans.