If you feel that your Series 63 test prep could benefit from some expert assistance, Varsity Tutors can place you in a private Series 63 course to help you pursue your academic and professional potential. We are a leader in the Series 63 prep space because we allow students of all ability levels to study at their own pace rather than trying to force them into a particular box.
What Are The Benefits of Series 63 Test Preparation Near Me?
Formal Series 63 prep allows students to build a deeper understanding of every facet of the exam. The Series 63, or Uniform Securities State Law Examination, is designed by NASAA (North American Securities Administrators Association) and administered by FINRA (Financial Industry Regulatory Authority) in order to ascertain whether financial professionals understand the regulations pertaining to the trade of state securities. In order to sell investment products such as unit investment trusts, variable annuities, or mutual funds, candidates must first qualify by passing this test and earning the associated Series 63 license.
Since Series 63 is an entry-level test, there are no prerequisites to being able to sit down for it. However, a Series 63 license is not enough to legally trade securities. Financial professionals also need to pass either the Series 6 (Investment Company and Variable Contracts Products Representative Qualification Examination) or Series 7 (General Securities Representative Qualification Exam) in order to legally buy and sell securities. Both of these other tests carry prerequisites, so you may want to ask your knowledgeable Series 63 tutor for more info on which exams you need to take in order to land your dream job.
The content of the Series 63 exam centers on the Uniform Securities Act of 1956, as well as each of the amendments the NASAA has added to it in the intervening years. Essentially, you can view Series 63 as the state law test for broker-dealer representatives. The table below defines all eight of the exam's "job functions," or sections in layman's terms:
Series 63 Exam Breakdown
Section |
Percentage of Exam |
Regulation of Investment Advisers |
5% |
Regulation of Investment Adviser Representatives |
5% |
Regulation of Broker-Dealers |
15% |
Regulation of Agents of Broker-Dealers |
15% |
Regulation of Securities and Issuers |
5% |
Remedies and Administrative Provisions |
10% |
Communication with Customers and Prospects |
20% |
Ethical Practices and Obligations |
25% |
Trying to study all of that information at once can feel intimidating, but private Series 63 test prep booked through Varsity Tutors can help you study at your own pace, section by section.
How Can Series 63 Tutoring Near Me Help Me Prepare For Each Section On The Test?
Function 1 of the Series 63 exam centers on the definition of "investment adviser," including the differences between advisers certified at the state level and those with federal coverage. If you're looking for a quick and easy way to visualize the differences, your Series 63 tutor may give you a table highlighting the most important information to review during your Series 63 prep. Function 2 is quite comparable, except that it defines the role of an "investment adviser representative" instead of an investment adviser. Both of these sections only have three questions each on the average exam, so it's unlikely that you'll need to spend much Series 63 test prep time here.
Function 3 is the first "real" section of the test, comprising 15% of a test-taker's final score. It covers topics such as the definition of a "broker-dealer," their registration maintenance requirements, and their obligation to supervise all of the agents working on their behalf. Most of this material needs to be memorized, so you might spend Series 63 test prep sessions listening to your private tutor repeat the information over and over again until it starts to stick. Alternatively, you might write the information repeatedly so that it becomes second-nature.
Function 4 is similar to Function 3, except about the agents of broker-dealers instead of the broker-dealers themselves. Bookkeeping and registration maintenance requirements are the principal topic in this section, so your instructor may provide practice problems for you to complete during your Series 63 prep to help you get a feel for it.
Function 5 only represents 5% of your total score, but it covers several important topics such as the definitions of "securities" and "issuers," state registration requirements, exemptions, and state anti-fraud authorities. Don't let the relative brevity of this section prevent you from asking questions about it during your Series 63 prep!
Function 6 highlights the power wielded by state securities Administrators, including the Administrative actions available to them and other penalties and liabilities financial professionals need to be aware of. Again, this largely boils down to rote memorization. If the repetitions recommended above aren't working for you, you might work with your tutor to come up with a mnemonic device during your Series 63 preparation to make this information easier to recall on test day.
Function 7 details how financial professionals are expected to communicate with both current clients and prospective customers. This can be a challenging topic to consider in the abstract, so you might wish to consider roleplaying with your Series 63 tutor during your Series 63 prep and get an idea of what it's like.
For example, your instructor might pretend to be a new customer that you brought to your firm. You can explain why you are a good choice to manage their assets while making sure to incorporate all necessary disclosures and performance guarantees into your sales pitch. When the session is over, you can review what your tutor liked about your conversation as well as anything that you might need to refine before working with actual clients.
Finally, Function 8 deals with issues such as cybersecurity, data protection, the prohibition on loans to and from your customers, and other common sense ethical obligations. None of the material in this section is especially dense, but there is a lot of it. Your Series 63 test prep can go over it item by item if there is anything you do not understand.
Some students may not find it beneficial to work on their Series 63 prep by job function, instead concentrating on the concepts prevalent on the test. While large Series 63 classes are likely to anchor themselves to the syllabus above, private Series 63 tutoring allows you to spend however long you might need to on a particular concept.
For instance, you can study the prohibitions against market manipulation during your Series 63 test prep until you feel confident enough to move on, no matter how important the syllabus says that the topic actually is. Likewise, there is no need to dwell on insider trading if you already have a comprehensive understanding of it.
Taking a private Series 63 class also allows you to receive personalized attention. You are your instructor's only student during your Series 63 prep, allowing all of your work to receive prompt attention. Any mistakes you made can be corrected while the material remains fresh in your mind, allowing you to learn from them in a way you might not have been able to with a substantial delay. Similarly, any misunderstandings can be addressed on the spot to ensure that they cannot spiral out of control.
Private Series 63 courses also foster a productive learning environment. For example, the personal rapport established over the course of your Series 63 prep may make it easier for you to ask questions as they arise. Your instructor can also take the time to understand your unique needs. If you are an auditory learner, your tutor may design Series 63 test prep sessions with a Q&A discussion format to complement your natural learning style. Alternatively, a more practical learner might get more out of Series 63 classes if they incorporate real-world examples to illustrate otherwise abstract concepts. There are many ways to approach Series 63 test prep, but one of them is likely to work better for you than the others. Why should you compromise on the efficacy of your Series 63 class?
A private tutor may even be able to incorporate your interests into your Series 63 prep to make sessions more engaging. For example, a student who enjoys games may approach practice questions like a game show, perhaps with some kind of prize if they answer several in a row correctly. Students who are actively engaged in what they are doing tend to get more out of Series 63 test preparation, so it doesn't have to be all work all the time!
Could A Series 63 Course Near Me Help Me With The Structure Of The Test?
Of course! The Series 63 exam consists of a total of 65 questions (60 of which are scored) over a testing session lasting 75 minutes. There is no penalty for guessing on the test, so all students should plan to at least attempt every question. This means that time management is an important consideration in any Series 63 test prep course.
One proven way to improve your time management is to incorporate practice exams into your Series 63 courses. The best way to get a sense of what the time available to you feels like is to experience it for yourself. If your instructor times you during a Series 63 class, you'll know whether you need to pick up the pace or can afford to spend more time on each question.
Practice exams also provide an opportunity to familiarize yourself with the directions before your testing date, allowing you to dive right in instead of wasting time reading them. If you aren't comfortable with digital assessments, gaining some hands-on experience with the test's electronic interface during your Series 63 prep may also prove beneficial.
The exam is administered at testing labs around the country, where you will be provided with a basic four-function calculator and a dry-erase board to use as scrap paper. Double-checking every answer with these resources may be tempting, but you probably don't have enough time to use them on every question. Instead, your tutor might show you when and how to optimize these resources during your Series 63 preparation.
Should you get stuck on a question, it might be best to just take a guess and move on. Your Series 63 preparation may include test-taking strategies to help you eliminate some of the incorrect answer choices, giving your guess a reasonable chance of being correct. Your tutor may also show you how to leverage the test against itself by using the information provided in one item to answer another. This might not be the most important thing taught in Series 63 classes, but it could help you get a jolt of self-confidence when you need it most!
FINRA tests are notorious for wording questions in a manner designed to confuse test-takers, and the Series 63 is one of the reasons why. You will want to answer some practice problems as part of your Series 63 prep so that you know what pitfalls you need to watch out for. Similarly, your knowledgeable tutor may be able to leverage what they know to point out common errors so that you can concentrate on avoiding them during your Series 63 test preparation.
Why Should I Book Series 63 Courses Near Me Through Varsity Tutors?
Great question! We try to match every student who comes to us to Series 63 tutoring services that fit into their schedule. We believe that your Series 63 course should fit into your life, not the other way around!
Likewise, our proprietary Live Learning Platform allows for all of your Series 63 test prep to take place online. Video chat functionality and a virtual whiteboard ensure that your Series 63 test prep is just as effective as it would be if you met your instructor in person, without the inconvenient commute typically associated with Series 63 prep!
If you would like to learn more about the services we offer or are ready to take your Series 63 test prep to the next level, contact us today for more information! Varsity Tutors takes great pride in helping as many students as possible strive toward academic and professional success!

Andrew: Series 63 test prep instructor
...and Psychology, with a Math minor. I also have a MBA from UNC's Kenan-Flagler Business School with a Finance Concentration. I recently completed my MS in Finance from Georgetown. I have worked for the Federal Reserve Board of Governors, investment banks, and a private equity firm; so, I have experience in the applied application of academic theory. I am adept at teaching economics and finance, as well as topics in math, statistics, business administration, and...
Education & Certification
- UNC Chapel Hill - Bachelors, Economics & Psychology
- Georgetown University - Masters, Finance
Subject Expertise
- Series 63
- Series 56 - Proprietary Trader Qualification Exam
- Series 7
- Series 55
- +70 subjects

Valentina: Series 63 test prep instructor
...I have been in the financial industry for over 20 years, and I am FINRA licensed in Series 7, Series 66, and of course, in SIE since it is a pre-requisite for Series 7. I have also been FINRA licensed in Series 63 and Series 65. The exams are very challenging, but there is nothing there that you will not be able to comprehend and nail from the first attempt. Therefore, I am standing by...
Education & Certification
- Colorado Mesa University - Bachelor of Science, Computer and Information Sciences, General
Subject Expertise
- Series 63
- Series 66
- Series 7 - General Securities Representative Exam (Stockbroker)
- SIE
- +4 subjects

Gregory: Series 63 test prep instructor
I studied economics at Wesleyan University and Financial Mathematics at The University of Chicago (Masters Degree.) I have 20 years experience using complex concepts in finance (stats, linear algebra, calculus) at JPMorgan and UBS. I teach stats, finance and programing in a user friendly way. I don't repeat the dry methods of text books. MATLAB is my main scripting language; I also use R and SPSS. I enjoy math and science, and I tutor my...
Education & Certification
- Wesleyan University - Bachelor in Arts, Economics
- University of Chicago - Master of Science, Financial Mathematics
Subject Expertise
- Series 63
- Series 31
- Series 7
- Series 3
- +48 subjects

Michael: Series 63 test prep instructor
...Together, we can make your path to certification a successful and enjoyable experience. Why Choose My Tutoring Services? Customized Help: I assess your strengths and weaknesses to create a personalized study plan that focuses on areas needing improvement, ensuring efficient and effective preparation. Expert Knowledge: With extensive experience and deep understanding of the securities and financial planning industries, I provide insights and tips that go beyond standard study materials. Proven Strategies: Learn the most effective...
Education & Certification
- University of Central Florida - Bachelor in Arts, Communication, General
Subject Expertise
- Series 63
- CFP
- Series 79
- Series 7
- +12 subjects

Brian: Series 63 test prep instructor
I have a BS in finance and economics, I worked as a financial analyst and investment specialist for a brokerage firm. I abruptly changed direction and joined the military where I spent close to a decade serving in the United States Army Special Forces. I approach tutoring with a "no quit" attitude as I have done with many things in my life. Together we will make it happen!
Education & Certification
- Johnson Wales University-Providence - Bachelor in Arts, Finance
Subject Expertise
- Series 63
- Series 66
- FINRA - Financial Industry Regulatory Authority
- Series 10
- +18 subjects
Education & Certification
- University of Massachusetts-Dartmouth - Bachelor in Arts, Political Economy
Subject Expertise
- Series 63
- SIE
- Series 10
- Series 7
- +16 subjects

Joseph: Series 63 test prep instructor
...very compassionate and patient with my students, especially those studying for FINRA and State Insurance Licensing exams. I have created unique study plans and practice exam questions that have assisted my students to pass their exams without any doubt about their capabilities. I'm happy to help you succeed in all FINRA and State Insurance Exams tutoring. Your passing grade is both of our goals! I welcome all students to study together to obtain that license...
Education & Certification
- Yeshiva University - Bachelor of Science, Economics
- Western Governors University - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 79
- Series 6
- Insurance License
- +48 subjects

Scot: Series 63 test prep instructor
...and became a licensed financial advisor in June of 2011. In February of 2017, I co-founded my financial planning firm, Providers & Families Wealth Management, with my wife, Lindsey; and in December of that year, I became a CERTIFIED FINANCIAL PLANNER. The most influential teachers in my life provided an engaging and entertaining learning experience, and I strongly believe that these are very important characteristics of an impactful education! I look forward to helping you...
Education & Certification
- Pennsylvania State University-Main Campus - Bachelor of Science, Marketing
Subject Expertise
- Series 63
- CFP
- Series 24
- Series 9
- +12 subjects
Education & Certification
- Tulane University of Louisiana - Bachelor of Science, Biology, General
Subject Expertise
- Series 63
- Series 65
- Series 7
- Series 7 - General Securities Representative Exam (Stockbroker)
- +23 subjects

edward: Series 63 test prep instructor
I am a person with an easy-going personality style with complete empathy for your situation. I am 100% committed I graduated from the University of South Florida in 1986 and got my Real Estate License from the State of Florida that same year. In addition, I achieved the status as a Licensed Real Estate Broker in 1992 and have owned and managed various brokerages throughout my career as the Broker of Record.
Education & Certification
- University of South Florida-Main Campus - Bachelor in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 7
- Series 26
- Series 65
- +7 subjects

Nana: Series 63 test prep instructor
I signed up to be a tutor because I enjoy helping others achieve their full potential and become the best version of themselves. I have an undergraduate degree in Economics and an MBA. I also have held Series 7 and 63 licenses in the past and currently licensed to sell health and life insurance.I am looking forward to working with you to exceed your goals!
Education & Certification
- Spelman College - Bachelor in Arts, Economics
- KELLOGG SCHOOL OF MANAGEMENT - Masters in Business Administration, Finance
Subject Expertise
- Series 63
- Series 24
- Series 39
- Series 65
- +42 subjects

Dennis: Series 63 test prep instructor
...(SIE, Series 7 and 24). Practitioner and teacher, bonds and stock, trader, analyst and writer. I started at the NY brokerage firm Bear Stearns at 17 years old and earned some licenses along the way (7, 63, 55 and 24 supervisory principal). Life is easiest when armed with a variety of skill sets. So learn a little of everything but specialize in something that you feel like learning, even if there will be no test...
Education & Certification
- Wesleyan University - Bachelor in Arts, Mathematical Statistics and Probability
Subject Expertise
- Series 63
- Series 55
- Series 24
- SIE
- +49 subjects
Education & Certification
- SUNY College at Old Westbury - Bachelor in Arts, Political Economy
Subject Expertise
- Series 63
- Insurance License
- Series 7
- Series 7 - General Securities Representative Exam (Stockbroker)
- +52 subjects

Jacquelyn: Series 63 test prep instructor
...and a Business Leader in the community, mentoring, and coaching, I have assisted many others in accomplishing their educational goals. 1. Parenting my children at home on how to do well in class and on tests. 2. Advising employees on how to study to obtain professional licenses to achieve passing scores. It has been a great accomplishment for me. When your children graduate with Honors, and your student employees perform well to obtain professional licenses,...
Education & Certification
- University of Detroit Mercy - Bachelor of Science, Finance
- Southern New Hampshire University - Master of Science, Entrepreneurial Studies
Subject Expertise
- Series 63
- Series 7
- Exam IFM - Investment and Financial Markets
- International Sports Sciences Association
- +18 subjects

Casey: Series 63 test prep instructor
...concentration in Management. Since graduation, I have worked as an accountant and registered financial broker. I have developed a passion for training others and helping them gain the knowledge they need to grow within their careers. While I have most of my experience in the business world, I believe that a strong understanding in Math can lay the groundwork for building the life of your dreams. In my spare time, I enjoy cooking, travel, spending...
Education & Certification
- Florida Atlantic University - Bachelor in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 86
- Series 79
- Series 65
- +25 subjects

Joseph: Series 63 test prep instructor
...actively working and advancing my career in Financial and Investment Services. Having held several senior management, training, and business coaching positions has allowed me to develop a unique perspective and flexible tutoring style. While I tutor a range of subjects on business and financial topics, I am most passionate about FINRA and Insurance regulatory examinations. I am a firm proponent of continuing education throughout one's lifetime and in sharing knowledge with others as much as...
Education & Certification
- University of Phoenix - Associate in Science, Business, General
Subject Expertise
- Series 63
- Series 4
- Series 66
- Series 65
- +30 subjects

Brandy: Series 63 test prep instructor
SIE, Series 63, Series 7 licensed. I am a Financial Services Rep at a major Brokerage Firm in which I have been with with for two years. Passed each of my tests on the first try. I'm very skilled at teaching. I was previously licensed as a Life Insurance agent (Life Insurance and Annuities). I have a history in the Financial Industry working with Workers Comp Insurance and other Business Insurance. I have a Bachelors...
Education & Certification
- Bellevue University - Bachelor of Science, Psychology
Subject Expertise
- Series 63
- SIE
- Series 7 - General Securities Representative Exam (Stockbroker)
- Series 7
- +1 subjects

Kyle: Series 63 test prep instructor
I have a passion for financial and capital markets and love to teach and educate others. I have worked my entire professional career in financial services utilizing series exam information on a daily basis. I have a Masters of Finance from the University of Notre Dame and work as a investment analyst at a private investment firm. Open to giving career mentorship as well!
Education & Certification
- Texas am - Bachelor of Science, Business and Managerial Economics
- University of Notre Dame - Current Grad Student, Finance
Subject Expertise
- Series 63
- FINRA - Financial Industry Regulatory Authority
- Series 7
- SIE
- +11 subjects

James: Series 63 test prep instructor
My name is James Weber. I am a licensed banker with JPMorgan Chase. I was a college baseball player at the University of Mount Union where I majored in Sport Business and Business management. Since then I have completed my MBA with Walden University in 2018 and will be completing my Masters of Science in Leadership and Management with Purdue Global in 2022. I have a passion for coaching and sharing my experiences in hopes...
Education & Certification
- University of Mount Union - Bachelor in Arts, Business Administration and Management
- Walden University - Masters in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 6
- SIE
- Stock Trading 101: Investing Basics
- +34 subjects
Education & Certification
- University of Missouri-St Louis - Bachelor in Business Administration, Business Administration and Management
Subject Expertise
- Series 63
- Series 65
- Series 57
- SIE
- +24 subjects