What are Series 63, Series 65 and Series 66?

Understanding the Difference: Series 63, Series 65 Or Series 66

When a person is preparing to enter the financial services industry as a registered representative or investment advisor representative, they must take—and pass— certain qualification examinations. Firm’s must also understand registration requirements to properly advise employees and ensure licenses are held properly. Failure to do so can result in an investment professional re-taking an exam.  Below are frequently asked questions related to the state licensing requirements.  What are Series 63, Series 65 and Series 66?  The securities industry is composed of licensing requirements at both the federal and state level. Based on the type of business of the Firm, an Read more about Understanding the Difference: Series 63, Series 65 Or Series 66[…]