Series 63: The Registration Process

Taken from our Series 63 Online Guide

The Registration Process

To register as an agent, a sponsoring broker-dealer or issuer must use the Central Depository Registration system to file a Form U4 and the individual must pass whatever exams are required for the types of securities he will be selling. Additionally, potential agents must pass a background check that looks for previous criminal as well as regulatory violations. The applicant must file a consent to service of process, which allows a state administrator to receive legal papers (summons, notice of lawsuits, etc.) on behalf of the agent. As part of a broker-dealer’s state registration, the broker-dealer must also file a consent to service of process. Once the consent to service of proc

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Earlier this month I passed the Series 6 using the book and then for the Series 63, I read the book first (like always) and after that I was practicing all the time in your web page (about ten times by chapter, in order to master it). I studied the 63 in about 2 weeks and let me tell you that your website and the immediate feedback helped me a lot (I got an 85 in my test). Thank you very much!

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

I've been using Solomon Exam Preparation materials for my last four Series tests: the Series 82, Series 63, Series 79 and just recently the Series 7. My scores on these tests were 88, 90, 88 and 90. The Solomon texts were comprehensive and easy to read; everything you need to know is in there. But there is so much material that these exams cover that you have to read the texts several times over and take as many practice quizzes and tests as you can until you score in the mid 80's. Then go in for the test. That's what I did. I went in scoring in the mid 80's on practice exams and "peaked" at higher scores while taking the actual tests. You can't do any better than Solomon. I highly recommend them.

Michael McGregor, FOCUS Investment Banking, Charlotte, NC

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

Ok guys, there was ONE problem with the Series 63 study material that I purchased from you. The problem is that I should have purchased it sooner!!

Keith Kozubal, Englewood, CO

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management