Series 63: 5.7.9 Personal Outside Investment Accounts

Taken from our Series 63 Online Guide

5.7.9 Personal Outside Investment Accounts

Agents are allowed to open personal investment accounts at other broker-dealers as long as both the agent and the outside firm with which the agent is trading provide sufficient documentation. That documentation must include the following from the outside firm:

• W

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.9 Personal Outside Investment Accounts, you might also be interested in:

Series 66 - 3.3. Unit Investment Trusts

Series 6 - 7.2.2.2. Actively Managed Strategies: Tactical Asset Allocation

Series 79 - Assessing Specific Candidates

Series 65 - 2.12.1 Mortgage-Backed Securities

Series 66 - Joint Account Features

SIE - Free-Look Period

Series 52 - 8.2.2. Registration of Firms

Series 3 - Exercise

Series 53 - Regulation of Political Contributions (Pay to Play Rule)

Series 6 - 6.3.3.3. Voting Rights

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA

I passed the 79 and 63 - both on the first attempt - thanks to Solomon Exam Prep. The quiz/simulator questions were very similar to the actual exam. Additionally, I was impressed by how quickly I received responses when I used the "Ask the Professor" feature.

Alexander W, IL

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

I passed the Series 63 exam yesterday. Thanks for your help and everyone at Solomon. You guys are great!!!

Tom Armstrong, Berliner Cohen, San Jose, CA

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

I passed my Series 6 and 63 [on the] first try. Test simulator helped a lot. Thanks Solomon Exam Prep.

Vaishali Lad, PNC Investments, Toledo, OH