State Licensing Courses

Uniform State Law requires that individuals who make recommendations of securities to the public, or who solicit the public to trade securities, must be licensed in that State. In addition, individuals who sell securities advisory services must be licensed in that State. The State exams are required in addition to the Federal Registered Representative licensing exams.

Series 63 - Uniform State Law Agent
The Series 63 examination is required by most states for individuals who solicit orders for any type of security in that state. This license is required in addition to the registered representative license (e.g. Series 6 or Series 7 license).
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Series 65 - Investment Adviser
The Series 65 examination is required by most states for individuals that act as investment adviser representatives. This is the only license required if an individual acts as an investment adviser representative. If that individual wishes to register as a securities sales representative, which is necessary to accept commissions...
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Series 66 - Combined Securities Agent / Investment Adviser Rep.
The Series 66 examination licenses an individual in the State to sell both securities and investment advisory products. Only individuals who have completed or will complete the Series 7 exam may take the Series 66 exam.
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About Pass Perfect

Pass Perfect is a leading developer of targeted, effective training programs for Series 7 and other FINRA and NASAA securities licensing exams.

Our level of experience and expertise is unmatched. Over the last 30 years we have successfully trained over 1,000,000 individuals for these exams.

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