Series 63: Registration Exceptions

Taken from our Series 63 Online Guide

Registration Exceptions

The registration exceptions for investment adviser representatives are the same as for investment advisers. Investment adviser representatives do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Individuals who fall into the above categories woul

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Registration Exceptions, you might also be interested in:

Series 24 - 1.2.2.5. Foreign Broker-Dealer Registration

Series 79 - Merger

Series 53 - Exercise

Series 24 - 2.6.6.1. Customer Accounts

Series 66 - 7.10.3 Limits on Employment or Association

Series 24 - Conditions of Individual Registration

SIE - 9.2.15.1. Approval and Recordkeeping

Series 79 - Shelf Registration

Series 52 - 3.2. Pricing the Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

Solomon has been the gold standard for our team for studying and passing! The information was presented clearly and everyday language. I did take the series 6 twice, due to testing anxiety, but I passed the 6 with 73%. I took my 63 one month later, and passed with 82% !!

Ciarra DiPiazza, CB Financial Services, Tacoma, WA

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

I just took the Series 63 last week, for the first time. I passed with a grade of 87%. The only study guide I used was your audio book which I listened to on the way to work everyday. I have never worked in the securities industry before, and I had no existing knowledge of anything related to securities law. Everything I know about the subject I learned from your audio book. I will always look to your exam preps for my future test prep needs.

David Laurie, Houston, TX

Your Series 63 Audiobook was awesome! My company gave me a class and a textbook but it was boring, so I bought your audio book and, honestly, it helped me pass the test the first time. Now I have to take the Series 6 and I am going to get your Series 6 Audiobook and also the Exam Prep Series 6 iPhone app to practice on my iPod Touch. Thank you so much.

Dana Carbuccia, JP Morgan Chase

I recently passed the series 62 & 63 FINRA exams (first try). The practice exams (with never repeating questions), helped prepare me thoroughly for the challenging questions ahead on the actual tests. Thanks Solomon!

Austin Najib, Key West Investments, San Gabriel, CA