How to Pass the Series 63

Instructor: Shelby Golden
Learn how to prepare for the Series 63 Exam with this article. Find out what you need to review to successfully complete this exam. You'll also get information about study resources.

Take Practice Tests and Quizzes

Taking as many practice tests as possible can help you pass the Series 63 exam. These tests are commonly found in study guides and prep books available from online retailers or test prep companies. Practice tests that include difficult questions can help you prepare for the tricky questions you'll likely find on the exam. Practice exams generally feature detailed answers and explanations that you can use to understand what you'll be tested on when you take the Series 63.

Practice exams and quizzes can also help you get familiar with the key terms you'll see on the exam, like 'exempt', 'administrator', 'broker-dealer' and 'remuneration'. Understanding the meaning of these terms before you take the exam will make it easier to answer questions correctly.

Complete an Online Course offers self-paced online courses that can help you customize your preparation. You can take these related courses as you get ready for the Series 63 Exam:

The video lessons in these courses can be watched whenever you want, making studying easy. You'll also find quizzes that can help you check your understanding of these financial subjects. The investment experts who lead these courses are available to answer your questions.

These courses will help you go over the investment options you might be asked about on the exam, as well as the steps involved in financial management. You'll also be able to refresh your understanding of consumer rights, government regulation and the various laws that control business and finance.

Review What You Need to Know

The Series 63 Exam deals specifically with the State Securities Act, other regulations and ethical issues associated with finance. In order to pass the exam you will need to make sure you're familiar with subjects that include:

  • Regulation of investment advisers and investment adviser representatives
  • Regulation of broker-dealers, agents of broker-dealers, securities and issuers
  • Administrative provisions, remedies and compensation
  • Client and prospect communication
  • Client funds, conflicts of interest and other issues

Know Which Tools You Can Use on Test Day

You will be allowed to use an electronic calculator during the test. Make sure you're comfortable using this tool before you begin the exam, so that you can get the most out of it. You should also be able to correctly read charts, graphs or tables, as these will likely be used during your test.

Know What Score You Need to Get

Correct answers on a minimum of 43 of the exam's 60 questions are required to pass the Series 63 Exam. You will only have 75 minutes to finish your work, so make sure that you answer the questions that you're sure about first. Return to more difficult problems only after you've answered everything that you feel confident about.

Also, because you're not penalized for getting answers wrong you should make sure you provide an answer for every question, even if you're not sure about the correct response. You might guess correctly and get the score you need.

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