If you have been looking for a quality Series 63 prep course to help you study for the test, Varsity Tutors can set you up with a private Series 63 class to help you pursue your professional and academic goals. We are a market leader in finding students of all ages and ability levels the help they need to reach for their potential, so give us a call today to learn more about how we can find you a Series 63 course!
Would A Series 63 Class Near Me Help Me Understand The Test's Purpose?
Series 63, or the Uniform Securities State Law Examination, is a test designed by NASAA (North American Securities Administrators Association) and administered by FINRA (Financial Industry Regulatory Authority) in order to ascertain whether financial professionals have the requisite knowledge of state securities regulations to trade in them. The test focuses on the tenets of Uniform Securities Act, as well as all of the amendments that NASAA has added to it over the years. Basically, this means that the test is about all of the regulations associated with trading securities.
The Series 63 is an entry-level exam, so it has no prerequisites. However, you must earn a Series 6 or Series 7 license in addition to the Series 63 license in order to legally sell securities in most states. Both Series 6 (Investment Company and Variable Contracts Products Representative Qualification Examination) and Series 7 (General Securities Representative Qualification Examination) have separate standardized tests associated with them, so you'll probably need to pass two tests to earn a license. Some individuals also take this test to enhance their resume, though your firm is likely to cover the cost if you need a Series 63 license to perform your professional duties.
At its core, Series 63 measures how well you understand interstate security regulations. Many of these concepts could be described as "common sense," but underestimating it is a great way to ensure that you'll fail. Instead, consider taking a Series 63 prep class to help build your confidence in advance of exam day.
The breakdown of the test is as follows:
Series 63 Exam Format
Question Format |
# Questions |
Time Allowed |
Passing Score |
Multiple-Choice |
65 |
75 Minutes |
70% |
Only 60 of the 65 test items are scored, but you should plan to do your best on all questions since there is no way to tell which items actually count. The Series 63 test may be broken into the following eight sections: Regulation of Investment Advisers (5%), Regulation of Investment Adviser Representatives (5%), Regulation of Broker-Dealers (15%), Regulation of Agents of Broker-Dealers (15%), Regulation of Securities and Issuers (5%), Remedies and Administrative Provisions (10%), Communication with Customers and Prospects (20%), and Ethical Principles and Obligations (25%).
How Can A Series 63 Prep Class Near Me Help Me Study For Each Section On The Test?
Every Series 63 course we can find for you consists of one-on-one tutoring, allowing you to concentrate on your unique areas of need. For example, the first section centers primarily on the definition of an investment advisor, including the difference between federal and state-level certifications. Your instructor may provide a chart allowing you to see the differences at a glance to help streamline your prep during a Series 63 class. The exam's second section is similar, except that the focus is on exactly what an investment adviser representative is. If definitions have never been your strong suit, your instructor may make you flashcards to help you review them in a Series 63 prep class.
The third section of the exam centers on the regulation of broker-dealers, including exactly what a broker-dealer is, the responsibility of broker-dealers to supervise their agents, and the books that must be maintained in order to earn and maintain registration. If you could benefit from a refresher on how to do all of the pertinent paperwork, your instructor might provide practice problems during your Series 63 course to help you feel more comfortable with it.
The fourth section of the test is similar except for the agents of broker-dealers instead of the broker-dealers themselves. As such, your Series 63 class may review the information with you in a similar manner. Your tutor can walk you through the process if you have any questions.
The Series 63's fifth section covers the definition of securities and issuers, state registration requirements, exemptions, and state anti-fraud authorities. That's a lot of material for a section that only averages three questions per exam, and most of it comes down to rote memorization. If you have a hard time recalling facts when you're under the gun, your instructor may help you come up with a mnemonic device during your Series 63 classes to make it seem a little bit easier.
The sixth section deals with the authority of the state securities Administrator, administrative actions, and other penalties and liabilities that financial professionals need to know. Again, this is largely rote memorization. If mnemonic devices aren't your cup of tea, your instructor may repeat the information several times in a row or even have you write it down over and over again during a Series 63 course to help it stick in your mind.
The seventh section of the Series 63 exam concentrates on how to communicate with customers and prospective customers about important topics such as legal disclosures, performance guarantees, customer agreements, and advertising strategies. This can be a challenging topic to consider in the abstract, so you might have sample conversations with your instructor during Series 63 prep courses to help you understand how to say everything you need to say without running afoul of the law.
The test's final section covers ethical obligations such as conflicts of interest, transparent compensation, due diligence, and insider trading. Most of these concepts are fairly straightforward, so your instructor may simply advise you to approach them from a perspective of a regulator and choose the "most right" response if you're ever unsure. Of course, you could go into more detail if you feel the need
Your Series 63 prep course can also help break down the individual topics that the test covers, allowing you to dive deeper into content that is likely to arise on the test. Some topics that are likely to come up include:
- Investment adviser activities
- Investment representative activities
- Broker-Dealer regulations
- Post-Registration records
- Securities and issuers
- Securities exemptions
- State anti fraud authority
- Administrative provisions
- Administrative liabilities
- Unlawful representations
- Performance Guarantees
- Customer agreements
- Social media correspondence
- Commissions and markups
- Custody and trading authorization
- Market manipulation and ethical practices
Most Series 63 prep classes follow a set curricula, meaning that you might not get to spend enough time on a topic of need while spending too much time on concepts you find easier. In contrast, the Series 63 courses we recommend consist of one-on-one tutoring sessions that allow you to study at your own pace. Working within a private learning environment allows you to spend as much time as you might need to on each of these topics to improve your study efficiency. For instance, if you have a hard time with securities exemptions but understand the prohibitions in place to limit market manipulation, your Series 63 prep courses should probably concentrate on the exemptions.
Your instructor may also be able to design Series 63 prep classes around your individual needs. For instance, they might adopt a lecture format if you are an auditory learner to help information stick in your mind, or provide helpful visual aids if you need to picture something in order to understand it. Both approaches are perfectly valid ways of absorbing information, but generic review classes often choose one or the other and leave students who work best the other way behind.
Most importantly, working with a private tutor allows you to receive individualized attention. Any questions you ask can be answered promptly, as you are your tutor's only pupil during your study sessions. Likewise, all of your work can receive immediate feedback so that you can make any necessary corrections while it is still fresh in your mind. Your tutor may even be able to incorporate your interests into study sessions to make them more engaging.
For example, do you like to play games? Structuring your Series 63 prep course like a game show may make it easier to concentrate on what is often very dry material. Students who are very interested in their test prep may also get more out of it than those who are staring at the clock waiting for a session to end!
Can Series 63 Courses Near Me Help Me Understand The Structure Of The Exam?
Sure! The Series 63 test is a computer-based test administered at testing labs around the country. If you aren't comfortable with the idea of taking an electronic assessment, you might want to take practice exams during your Series 63 course to develop a familiarity with it. It may seem like a small thing, but knowing exactly what to expect on exam day may go a long way toward relieving any test anxiety you may be experiencing.
The testing center will provide you with a basic four-function calculator and dry-erase board to help you work out anything you need to, but these materials must be returned to the center immediately following the conclusion of your exam. Likewise, you are not permitted to bring anything with you into the testing center, including your notes. That means no reviewing your notes while waiting for the test to boot up! If you have any additional questions regarding the test-taking procedure, please feel free to ask your instructor during a Series 63 prep course.
It can be tempting to use the resources above to double-check every answer, but remember that you only have 75 minutes to complete the entire exam. There is no penalty for guessing on the Series 63 test, so it is always to your benefit to answer every question before time expires. Therefore, your tutor may show you time management tips regarding when and how to use the calculator and dry-erase board during your Series 63 classes.
Speaking of time management, completing practice exams under realistic test-taking conditions can help you get a sense of the time available to you. Likewise, you might review your answers after the fact to determine your areas of strength and any topics you might want to pay more attention to during your next Series 63 course.
FINRA exams are notorious for deceptive questions that make financial professional miss items based on relatively simple concepts, and the Series 63 is one of the worst offenders. Completing sample problems during Series 63 courses can give you an idea of what traps you should be on the lookout for. Your tutor may also point out some common pitfalls during your Series 63 prep classes to help you spot them on the actual test.
Since the Series 63 has a multiple-choice format, it's possible that one item contains enough information to help you answer a question you previously had a hard time with. Your tutor may also teach you test-taking strategies to help you deduce a correct answer even if you don't know it for sure.
Are There Any More Benefits Of Series 63 Prep Courses Near Me I Should Know About?
Every Series 63 class we connect you with includes access to our Live Learning Platform, an online classroom where you can meet your instructor face-to-face without worrying about the logistics of arranging an in-person meeting. The quality of instruction is just as good as if you were in the same room thanks to powerful features such as video chat functionality and a virtual whiteboard. We also try to match every student with a qualified instructor who fits into your schedule, as we believe that nobody should need to rearrange their life around Series 63 classes.
If you're ready to learn more about the Series 63 courses Varsity Tutors can find for you, contact us today to get the process started. Knowledgeable Educational Consultants are standing by to answer any questions you may have!

Mary: Series 63 course instructor
...a peer group. We were close-knit, collaborative and hand-picked for what would be a rigorous and unique learning experience to set a foundation for our respective quantitative trading roles. I became a market maker, providing liquidity to the public orders, a specialist, keeping an orderly book of all public orders, and floor manager, overseeing the daily operations. The environment was dynamic, highly demanding, requiring laser focus, preparation and stamina. An integral member of the firm,...
Education & Certification
- Dickinson College - Bachelor in Arts, Economics
- Northwestern University - Masters in Business Administration, Finance
Subject Expertise
- Series 63
- CAIA Level I
- Series 72
- Series 53
- +101 subjects

James: Series 63 course instructor
...banker with JPMorgan Chase. I was a college baseball player at the University of Mount Union where I majored in Sport Business and Business management. Since then I have completed my MBA with Walden University in 2018 and will be completing my Masters of Science in Leadership and Management with Purdue Global in 2022. I have a passion for coaching and sharing my experiences in hopes of allowing other to realize their own goals.
Education & Certification
- University of Mount Union - Bachelor in Arts, Business Administration and Management
- Walden University - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- SIE
- Series 6
- Essay Editing
- +32 subjects

Matthew: Series 63 course instructor
...different businesses and try to understand what they do, how did they get there, why are they there and what would I do if I need to improve their business? One of the many reasons why I love teaching people about business is because it gives me an excuse to talk about it. More importantly, it also allows me to help people learn this world and show how you can be independent without taking on...
Education & Certification
- East Carolina University - Bachelor of Science, Finance
Subject Expertise
- Series 63
- Series 66
- Real Estate License
- Series 7
- +14 subjects

Nhan: Series 63 course instructor
...in Finance and Economics from Ohio University. Currently I am in another Master program, this one is for Accountancy, specialized in Auditing. I am expected to finish my second Master in Fall of 2019, and I will start my Doctorate program for Business and Corporate Strategies in August 2019. My primary areas of focus are Finra licensing, such as Series 7 and Series 65, along with Economics, Finance and General Accounting. I believe in a...
Education & Certification
- Ohio State University-Main Campus - Bachelor of Science, Applied Physics
- Ohio University-Main Campus - Master of Science, Applied Economics
Subject Expertise
- Series 63
- Series 7 - General Securities Representative Exam (Stockbroker)
- Series 10
- Series 7
- +78 subjects

Ben: Series 63 course instructor
...and let me help you get there faster and stronger. ------------------- My life mission has been analyzing the past in order to change the future. My core attributes are analysis, organization, and business communication. I have started and/or managed 6 companies, including marketing research, investment banking, software development, a pension fund, personal care, and a business consulting firm. I have an inquisitive nature, with deep knowledge and interests in business, marketing, demographics, technology and science,...
Education & Certification
- The University of Alabama - Bachelor of Science, Finance
- University of North Carolina at Wilmington - Master in Management, Business Administration and Management
Subject Expertise
- Series 63
- Series 7
- Series 24
- Macroeconomics
- +43 subjects

DonnaPia: Series 63 course instructor
I see my role as a tutor as one in which I first create an environment that facilitates learning while I provide the supplemental instruction. In this way, I will also be working to build the student's confidence to help them succeed in their academic pursuits.
Education & Certification
- Towson University - Bachelor in Arts, Psychology
- University of Baltimore - Certificate, Business Administration and Management
Subject Expertise
- Series 63
- Series 7
- Series 7 - General Securities Representative Exam (Stockbroker)
- ACCUPLACER Sentence Skills
- +75 subjects

Joseph: Series 63 course instructor
...I am very compassionate and patient with my students, especially those studying for FINRA and State Insurance Licensing exams. I have created unique study plans and practice exam questions that have assisted my students to pass their exams without any doubt about their capabilities. I'm happy to help you succeed in all FINRA and State Insurance Exams tutoring. Your passing grade is both of our goals! I welcome all students to study together to obtain...
Education & Certification
- Yeshiva University - Bachelor of Science, Economics
- Western Governors University - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 9
- Insurance License
- Series 66
- +48 subjects

Raymond: Series 63 course instructor
I am committed to developing the talent I possess and sharing my life with others. I always enjoyed teaching but more importantly human development. As Socrates said so long ago, the unexamined life is not worth living. Sometimes, the gravity of questions outweigh all in life.
Education & Certification
- Fordham University - Bachelor of Science, Classics
Subject Expertise
- Series 63
- Series 65
- Series 6
- Series 22
- +5 subjects

Isaiah: Series 63 course instructor
...the series 6 exam in May of 2018. Two weeks later I passed the Series 63. A month later I passed the Series 26. In February of 2019 I passed the Series 65. All together it took me about 6 months to study and pass all exams. Now, I actively tutor in all exams. I provide reading material, notes, and test questions for each student during each session. My mission is to help students achieve...
Education & Certification
- Alabama State University - Bachelor of Science, Mathematics
- Alabama State University - Master of Science, Mathematics
Subject Expertise
- Series 63
- Series 6
- Insurance License
- Series 65
- +29 subjects
Education & Certification
- SIUCarbondale - Bachelor of Science, Management Science
- Walden University - Doctor of Philosophy, Finance
Subject Expertise
- Series 63
- CFA
- Series 6
- Series 65
- +39 subjects
Education & Certification
- University of Missouri-St Louis - Bachelor in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 57
- Series 24
- Series 6
- +24 subjects
Education & Certification
- University of Massachusetts-Dartmouth - Bachelor in Arts, Political Economy
Subject Expertise
- Series 63
- Series 24
- SIE
- Series 7 - General Securities Representative Exam (Stockbroker)
- +16 subjects

Jahlen: Series 63 course instructor
...6, Series 63. Tutors in a style that establishes a bridge between the material and common terms that are very understandable. I've received a Bachelors of Arts degree in economics from SUNY Purchase. I've also spent my recent time of employment working for a insurance company. At this time I developed my experience in tutoring,over the last 2 years, by helping my fellow coworkers pass their exams. In my experience with the SIE exam, Series...
Education & Certification
- SUNY at Purchase College - Bachelor in Arts, Economics
Subject Expertise
- Series 63
- SIE
- Series 6
- Insurance License
- +1 subjects

Casey: Series 63 course instructor
...and a concentration in Management. Since graduation, I have worked as an accountant and registered financial broker. I have developed a passion for training others and helping them gain the knowledge they need to grow within their careers. While I have most of my experience in the business world, I believe that a strong understanding in Math can lay the groundwork for building the life of your dreams. In my spare time, I enjoy cooking,...
Education & Certification
- Florida Atlantic University - Bachelor in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 65
- Series 7
- Series 6
- +25 subjects

Evan: Series 63 course instructor
...that be high school work, undergraduate/graduate level Finance, Economics, Math, or Accounting work, or CFA exam prep I graduated Summa Cum Laude (top 5% of my class) from Northwestern University with a degree in economics. I subsequently passed all 3 levels of the CFA examination process. I have worked in Investment Banking (Barclays Investment Bank) where I performed complex financial analyses before subsequently working in Private Equity. Most recently, I served as a Director of...
Education & Certification
- Northwestern University - Bachelor in Arts, Economics
Subject Expertise
- Series 63
- Series 65
- SIE
- CFA
- +27 subjects

Jarrett: Series 63 course instructor
...since. After graduation I began a career in finance and banking. Along the way I have been a financial advisor, licensed stock broker, and a district executive for a regional bank. Currently I am working as an analyst for a digital marketing firm. I love statistics and how businesses and leaders can gain better understanding and make more informed decisions with the use of analytics. I am also passionate about the power of education because...
Education & Certification
- University of Phoenix-Philadelphia Campus - Bachelor of Science, Management Science
- University of Phoenix-Philadelphia Campus - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 6
- Series 7
- Series 65
- +20 subjects

Ramona: Series 63 course instructor
...4 to adults in both reading, math, and finance. My favorite subject to teach is reading because it opens up a whole new world to the student. I also like to teach finance because we earn money and spend money, but we don't really know how to manage it and make it work for us. I enjoy reading, spending time at the beach or near water and traveling My goal is to visit all 50...
Education & Certification
- University of North Florida - Bachelor in Business Administration, Business Administration and Management
- Patten University - Masters in Business Administration, Finance
Subject Expertise
- Series 63
- Series 23
- Series 6
- PMP
- +16 subjects

Joseph: Series 63 course instructor
...Prospective Student, if you want to learn how to make money the right way, build wealth and protect it, hire me! I'm a CFP and professional money coach who has been helping people and families make smarter money choices since 1983. With nearly four decades of private client advisory, teaching, training and coaching experience, I specialize in personal finance instruction, and I look forward to helping you realize all of your financial dreams. Cheers! Joe
Education & Certification
- Community College of Allegheny County - Associate in Arts, Liberal Arts and Sciences
Subject Expertise
- Series 63
- Series 24
- Series 66
- CFP
- +12 subjects

Scot: Series 63 course instructor
...in 2010 and became a licensed financial advisor in June of 2011. In February of 2017, I co-founded my financial planning firm, Providers & Families Wealth Management, with my wife, Lindsey; and in December of that year, I became a CERTIFIED FINANCIAL PLANNER. The most influential teachers in my life provided an engaging and entertaining learning experience, and I strongly believe that these are very important characteristics of an impactful education! I look forward to...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Marketing
Subject Expertise
- Series 63
- Series 4
- Series 16
- Series 79
- +12 subjects

Victoria: Series 63 course instructor
...seem to have the most success when we have discovered the student's learning style and thought-process. I believe learning should be an engaging, inspiring activity where the student can envision how their new knowledge will apply to real-life scenarios. I am also a firm proponent of education, believing it to be absolutely necessary for an improved quality of life, and I try to impart this appreciation to all of my students.
Education & Certification
- University of South Alabama - Bachelor of Science, Biology, General
- Florida Atlantic University - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 7 - General Securities Representative Exam (Stockbroker)
- Insurance License
- Series 7
- +35 subjects