Series 63: Limits On Employment Or Association

Taken from our Series 63 Online Guide

Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association with investment adviser representatives, it draws some clear lines in the sand for agents of broker-dealers. Specifically, there are two clear limits placed on employment or affiliation with a broker-dealer or issuer.

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I failed the 63 three times over the course of four years. I passed the first time after taking your course.

Senica Omernik, Farmers Insurance, Stevens Point, WI

I used the one iPhone app for the 63 and found it a great help. I used it whilst watching TV, waiting for the car to be serviced, any spare few minutes I would practice a question or two.

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I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH