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:

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Limits On Employment Or Association, you might also be interested in:

SIE - 7.1. Types of Markets

Series 52 - 4.4.1.4. Listing of Bond Offerings

Series 6 - 7.1.2.7. Call Risk

Series 79 - Settlement

Series 65 - Money Market Securities

Series 26 - Variable Life Insurance

Series 65 - 4.5.8. Private Placements: Regulation D

Series 65 - 9.1.2.3.3. Special Subscription Form

SIE - 2.8.3. Collateral Trust Bonds

Series 65 - 8.5 Investment Advisers Act of 1940

Series 65 - 6.1.3.3.1 Income Earned Within an Estate Account

Series 79 - 8.2.2. Free Writing Prospectuses

Series 24 - Investment Company Rankings

Series 82 - Lifetime Records

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Ok guys, there was ONE problem with the Series 63 study material that I purchased from you. The problem is that I should have purchased it sooner!!

Keith Kozubal, Englewood, CO

Your "Pass the 7" guide and practice questions helped my studying immensely, and I passed the exam the first time. I am currently using the "Pass the 63" guide and practice questions - the teaching style makes the learning experience much more interesting! I will definitely recommend your products to my friends and colleagues. Thank you so much!

Patrick Chen, Midtown Partners, New York, NY

I followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

All of your products are AMAZING! I passed my 6 & 63 with Solomon by my side every step of the way. Thanks again!

Stephen Snyder

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA