Series 63: Agent—Definition

Taken from our Series 63 Online Guide

Agent—Definition

For the sake of being thorough, you should know how the Uniform Securities Act defines an agent, word-for-word. While it’s highly unlikely that you’ll be quizzed on the exact definition, an understanding of it will underlie numerous questions on the exam.

An agent is:

any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Agent—Definition, you might also be interested in:

Series 63 - Paying Solicitors for Advisory Business

Series 65 - Chapter 2 Practice Questions

Series 28 - Debt-Equity Requirements

Series 28 - Compensation Practices

Series 82 - 3.3.5. Special Types of Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

Used Solomon Exam Prep for both my Series 6 and 63 exams. Passed both first try. The practice tests were invaluable. Thanks!

Alex T.

Earlier this month I passed the Series 6 using the book and then for the Series 63, I read the book first (like always) and after that I was practicing all the time in your web page (about ten times by chapter, in order to master it). I studied the 63 in about 2 weeks and let me tell you that your website and the immediate feedback helped me a lot (I got an 85 in my test). Thank you very much!

Maricella Tenorio Bocangel, New York Life, New York, NY

The products and support provided by Solomon Exam Prep was exactly what I needed to pass my Series 63 the first time. The reading materials where actually enjoyable due in part to easy to understand explanations. Unlike most of the competitors offerings which are perfect for insomniacs, these materials are engaging and the test questions are harder than I experienced on the exam. Additionally, the on-line testing simulator is a fabulous addition to the package. Not only do you have an opportunity to take a self paced approach but also as you come to the final days of prep, there is a timed environment that helps you establish a pace that is a real plus on exam day. The real-time support when I had a question or concern was the last extraordinary plus of this packaged solution. I received responses if not in minutes certainly within the day. I recommend these products to all of my associates and to you.

David Vande Casteele, Managing Director, John Davenport & Associates LLC

My thanks to everyone at Solomon for their commitment to my success in passing Series 63. Karen Solomon was always quick to respond to me, advise me and clarify material for me. I had great take away from Bob Pisani's class and I know his presentation influenced my exam score of 83!

Mary Sutter

I passed the 63 on the first try with Solomon Exam prep! The Exam Simulator was amazing and the Audiobook really helped!!!

Brad Eiden, Jefferson National, Louisville, KY