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What are the requirements for a series 66 license?

Series 66 Exam Requirements. It consists of 100 multiple-choice questions, with a testing time of up to two hours and 30 minutes. Candidates must score at least 75 percent on the exam to pass. In most states, aspiring advisers must also complete an application, background check and bonding process before they're allowed to do business in the field.

What is Series 66 securities license?

The Series 66 is an exam and license that is meant to qualify individuals as investment adviser representatives or securities agents. The Series 66, also known as the Uniform Combined State Law Examination, covers topics relevant to providing investment advice and effecting securities transactions for clients.

What is a series 6 and Series 63 license for?

The Series 6 and Series 63 licenses are documents granting the holder permission to engage in certain securities transactions such as selling shares in mutual funds. The Financial Industry Regulatory Authority - FINRA - is a nongovernment entity charged with regulating the financial industry.

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