{"id":7121,"date":"2025-11-18T18:26:52","date_gmt":"2025-11-19T00:26:52","guid":{"rendered":"https:\/\/www.kansascity.com\/careers-education\/?p=7121"},"modified":"2025-11-18T18:26:54","modified_gmt":"2025-11-19T00:26:54","slug":"series-63-vs-65","status":"publish","type":"post","link":"https:\/\/www.kansascity.com\/careers-education\/series-63-vs-65\/","title":{"rendered":"Series 63 vs 65: Which Do You Need?"},"content":{"rendered":" <p class=\"wp-block-paragraph\">Starting a career in finance? <\/p> <p class=\"wp-block-paragraph\">You\u2019ll need the right license to match your goals, whether you&#8217;re selling securities or providing investment advice. As someone who reviews exam prep materials, I\u2019ve seen many candidates struggle to choose the right license. Plus, it doesn\u2019t help that with so many exams listed on <a href=\"https:\/\/www.finra.org\/registration-exams-ce\/qualification-exams\" target=\"_blank\" rel=\"noreferrer noopener\">FINRA<\/a>, it\u2019s easy to get confused about which one aligns with their career goals.<\/p> <p class=\"wp-block-paragraph\">The Series 63 and Series 65 are two key exams that determine whether you\u2019ll sell securities as a broker-dealer agent or give investment advice as an adviser representative. <\/p> <p class=\"wp-block-paragraph\">This guide compares the Series 63 and Series 65 exams side by side, helping you understand the scope, structure, and purpose of each license so you can make the best choice for your future in the securities industry.<\/p> <p class=\"custom_key wp-block-paragraph\"><strong>Key Takeaways<\/strong><\/p> <ul class=\"wp-block-list custom_underline\"> <li><strong>Two Distinct Paths: <\/strong>The Series 63 and 65 fulfill different state licensing requirements for sales representatives and investment advisers.<\/li> <li><strong>Series 65 Covers More:<\/strong> It includes investment analysis, portfolio management, and client strategy for adviser representatives.<\/li> <li><strong>Distinct Roles: <\/strong>The Series 63 suits broker-dealer agents; the Series 65 fits investment advisers.<\/li> <li><strong>NASAA Oversight: <\/strong>Both are developed by the North American Securities Administrators Association and test ethical standards under the Uniform Securities Act.<\/li> <li><strong>Combined Option:<\/strong> The Series 66 merges both licenses for dual registration with securities administrators.<\/li> <\/ul> <h2 class=\"wp-block-heading has-text-align-center\" id=\"h-series-63-vs-65-comparison\"><strong>Series 63 vs 65 Comparison<\/strong><\/h2> <style type=\"text\/css\" id=\"supsystic-table-122_42103-css\">\/* Here you can add custom CSS for the current table *\/ \/* Lean more about CSS: https:\/\/en.wikipedia.org\/wiki\/Cascading_Style_Sheets *\/ \/* To prevent the use of styles to other tables use \"#supsystic-table-122\" as a base selector for example: #supsystic-table-122 { ... } #supsystic-table-122 tbody { ... } #supsystic-table-122 tbody tr { ... } *\/ div#supsystic-table-122_wrapper { width: 60%; margin: 0 auto; } table#supsystic-table-122 { border: none !important; } .supsystic-tables-wrap .dataTables_scrollHead table.supsystic-table { border-bottom: unset !important; } .supsystic-tables-wrap thead th.htCenter { text-align: center !important; } span.discount { margin-top: 6px; display: inline-block; float: left; font-weight: 400; width: 100%; font-size: 12px; } .supsystic-tables-wrap tbody tr td:nth-child(1) { font-size: 16px; } .supsystic-tables-wrap thead th { font-size: 16px; } .supsystic-table tr:nth-child(1) th a:nth-child(3) { background: #1873cd; border: 1px solid #1873cd; } .supsystic-table tr:nth-child(1) th a:nth-child(4) { background: #1873cd; border: 1px solid #1873cd; } .supsystic-table tr:nth-child(1) th .editor_block:nth-child(1) { background: #32cd32; color: #fff; font-size: 14px; position: absolute; padding: 10px 0px; margin-bottom: 20px; top: 0px; left: 0; right: 0; } li.coupon_dis { list-style: none; } .dataTables_scrollBody .editor_block { display: none; } .editor_block::after { content: \"\"; position: absolute; left: 0; right: 0; margin: auto; height: 10px; width: 10px; background: #32cd32; top: 35px; transform: rotate(45deg); } .supsystic-table tr:nth-child(1) a:nth-child(4), .supsystic-table tr:nth-child(1) a.external { color: #fff; padding: 4px 12px; width: 70%; border-radius: 50px; font-size: 9px; margin-top: 10px; display: inline-block; margin-bottom: 12px; } .supsystic-table thead th img { width: 200px; margin: 0 auto; display: block; } .supsystic-table tbody tr:last-child td a { background: #00d084; color: #fff; padding: 10px 10px; border-radius: 10px; font-size: 16px; } .supsystic-table tr:nth-child(1) a:nth-child(3), .supsystic-table tr:nth-child(1) a.external { color: #fff; padding: 4px 12px; width: 70%; border-radius: 50px; font-size: 9px; margin-top: 10px; display: inline-block; margin-bottom: 12px; } table.dataTable.cell-border tbody th, table.dataTable.cell-border tbody td { border-top: 1px solid #ddd; border-right: 1px solid #ddd; } tr:first-child th { background-color: #fff; border: 1px solid #e1e1e1; } th:first-child, td:first-child { font-size: 14px; letter-spacing: normal; line-height: 20px; text-align: left; } .supsystic-table tbody tr td { padding: 12px 10px !important; } td { font-size: 13px; text-align: center; } .supsystic-table tbody tr:first-child td { border-top: 1px solid #dddddd !important; } .dataTables_scrollBody { border: unset !important; } .supsystic-table tbody tr:last-child td { border-bottom: 1px solid #dddddd; } .supsystic-table thead th { border-bottom: unset !important; border-left: unset !important; } .supsystic-table thead tr:first-child th:first-child { border-radius: 12px 0 00; border-left: 1px solid #dddddd !important; } .supsystic-table thead tr th { border: 1px solid #dddddd; } .supsystic-table thead tr:first-child th:last-child { border-radius: 0 12px 0 0; } .supsystic-table thead tr:last-child th:first-child { border-left: 1px solid #dddddd !important; } .supsystic-table tbody tr:last-child td:first-child { border-radius: 0 0 0 12px; } .supsystic-table tbody tr:last-child td:last-child { border-radius: 0 0 12px 0; } @media screen and (max-width: 767px) { .supsystic-table tbody tr:last-child td a { padding: 8px !important; font-size: 11px !important; } div#supsystic-table-122_wrapper { width: 100%; margin: 0 auto; } } <\/style> <div id=\"supsystic-table-122_42103\" class=\"supsystic-tables-wrap \" style=\" width:100%; visibility: hidden; \" data-table-width-fixed=\"100%\" data-table-width-mobile=\"100%\" ><table id=\"supsystic-table-122\" class=\"supsystic-table border stripe hover lightboxImg cell-border\" data-id=\"122\" data-view-id=\"122_42103\" data-title=\"Series 63 vs. 65: Comparison Chart\" data-currency-format=\"$1,000.00\" data-percent-format=\"10.00%\" data-date-format=\"DD.MM.YYYY\" data-time-format=\"HH:mm\" data-features=\"[&quot;after_table_loaded_script&quot;]\" data-search-value=\"\" data-lightbox-img=\"\" data-head=\"on\" data-head-rows-count=\"1\" data-pagination-length=\"50,100,All\" data-auto-index=\"off\" data-searching-settings=\"{&quot;columnSearchPosition&quot;:&quot;bottom&quot;,&quot;minChars&quot;:&quot;0&quot;}\" data-lang=\"default\" data-override=\"{&quot;emptyTable&quot;:&quot;&quot;,&quot;info&quot;:&quot;&quot;,&quot;infoEmpty&quot;:&quot;&quot;,&quot;infoFiltered&quot;:&quot;&quot;,&quot;lengthMenu&quot;:&quot;&quot;,&quot;search&quot;:&quot;&quot;,&quot;previous&quot;:&quot;&quot;,&quot;next&quot;:&quot;&quot;,&quot;zeroRecords&quot;:&quot;&quot;,&quot;exportLabel&quot;:&quot;&quot;,&quot;file&quot;:&quot;default&quot;}\" data-merged=\"[]\" data-responsive-mode=\"2\" data-from-history=\"0\" ><thead><tr><th data-cell-id=\"A1\" data-x=\"0\" data-y=\"1\" data-db-index=\"1\" class=\"\" data-cell-type=\"text\" data-original-value=\"Feature\" data-order=\"Feature\" style=\"min-width:33.3333%; width:33.3333%;\" >Feature <\/th><th data-cell-id=\"B1\" data-x=\"1\" data-y=\"1\" data-db-index=\"1\" class=\"\" data-cell-type=\"text\" data-original-value=\"Series 63\" data-order=\"Series 63\" style=\"min-width:33.3333%; width:33.3333%;\" >Series 63 <\/th><th data-cell-id=\"C1\" data-x=\"2\" data-y=\"1\" data-db-index=\"1\" class=\"\" data-cell-type=\"text\" data-original-value=\"Series 65\" data-order=\"Series 65\" style=\"min-width:33.3333%; width:33.3333%;\" >Series 65 <\/th><\/tr><\/thead><tbody><tr style=\"height:px\" ><td data-cell-id=\"A2\" data-x=\"0\" data-y=\"2\" data-db-index=\"2\" class=\"\" data-cell-type=\"text\" data-original-value=\"What It Covers\" data-order=\"What It Covers\" >What It Covers <\/td><td data-cell-id=\"B2\" data-x=\"1\" data-y=\"2\" data-db-index=\"2\" class=\"\" data-cell-type=\"text\" data-original-value=\"State securities laws, ethics, and registration rules\" data-order=\"State securities laws, ethics, and registration rules\" >State securities laws, ethics, and registration rules <\/td><td data-cell-id=\"C2\" data-x=\"2\" data-y=\"2\" data-db-index=\"2\" class=\"\" data-cell-type=\"text\" data-original-value=\"Investment advice, economics, portfolio management, and client analysis\" data-order=\"Investment advice, economics, portfolio management, and client analysis\" >Investment advice, economics, portfolio management, and client analysis <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A3\" data-x=\"0\" data-y=\"3\" data-db-index=\"3\" class=\"\" data-cell-type=\"text\" data-original-value=\"Who It\u2019s For\" data-order=\"Who It\u2019s For\" >Who It\u2019s For <\/td><td data-cell-id=\"B3\" data-x=\"1\" data-y=\"3\" data-db-index=\"3\" class=\"\" data-cell-type=\"text\" data-original-value=\"Broker-dealer agents and sales reps\" data-order=\"Broker-dealer agents and sales reps\" >Broker-dealer agents and sales reps <\/td><td data-cell-id=\"C3\" data-x=\"2\" data-y=\"3\" data-db-index=\"3\" class=\"\" data-cell-type=\"text\" data-original-value=\"Investment adviser representatives and financial planners\" data-order=\"Investment adviser representatives and financial planners\" >Investment adviser representatives and financial planners <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A4\" data-x=\"0\" data-y=\"4\" data-db-index=\"4\" class=\"\" data-cell-type=\"text\" data-original-value=\"Exam Time\" data-order=\"Exam Time\" >Exam Time <\/td><td data-cell-id=\"B4\" data-x=\"1\" data-y=\"4\" data-db-index=\"4\" class=\"\" data-cell-type=\"text\" data-original-value=\"75 minutes\" data-order=\"75 minutes\" >75 minutes <\/td><td data-cell-id=\"C4\" data-x=\"2\" data-y=\"4\" data-db-index=\"4\" class=\"\" data-cell-type=\"text\" data-original-value=\"180 minutes\" data-order=\"180 minutes\" >180 minutes <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A5\" data-x=\"0\" data-y=\"5\" data-db-index=\"5\" class=\"\" data-cell-type=\"text\" data-original-value=\"Total Questions\" data-order=\"Total Questions\" >Total Questions <\/td><td data-cell-id=\"B5\" data-x=\"1\" data-y=\"5\" data-db-index=\"5\" class=\"\" data-cell-type=\"text\" data-original-value=\"65 (60 scored + 5 unscored)\" data-order=\"65 (60 scored + 5 unscored)\" >65 (60 scored + 5 unscored) <\/td><td data-cell-id=\"C5\" data-x=\"2\" data-y=\"5\" data-db-index=\"5\" class=\"\" data-cell-type=\"text\" data-original-value=\"140 (130 scored + 10 unscored)\" data-order=\"140 (130 scored + 10 unscored)\" >140 (130 scored + 10 unscored) <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A6\" data-x=\"0\" data-y=\"6\" data-db-index=\"6\" class=\"\" data-cell-type=\"text\" data-original-value=\"Passing Score\" data-order=\"Passing Score\" >Passing Score <\/td><td data-cell-id=\"B6\" data-x=\"1\" data-y=\"6\" data-db-index=\"6\" class=\"\" data-cell-type=\"text\" data-original-value=\"43\/60 (72%)\" data-order=\"43\/60 (72%)\" >43\/60 (72%) <\/td><td data-cell-id=\"C6\" data-x=\"2\" data-y=\"6\" data-db-index=\"6\" class=\"\" data-cell-type=\"text\" data-original-value=\"92\/130 (70.76%)\" data-order=\"92\/130 (70.76%)\" >92\/130 (70.76%) <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A7\" data-x=\"0\" data-y=\"7\" data-db-index=\"7\" class=\"\" data-cell-type=\"text\" data-original-value=\"Sponsorship\" data-order=\"Sponsorship\" >Sponsorship <\/td><td data-cell-id=\"B7\" data-x=\"1\" data-y=\"7\" data-db-index=\"7\" class=\"\" data-cell-type=\"text\" data-original-value=\"Required through a broker-dealer\" data-order=\"Required through a broker-dealer\" >Required through a broker-dealer <\/td><td data-cell-id=\"C7\" data-x=\"2\" data-y=\"7\" data-db-index=\"7\" class=\"\" data-cell-type=\"text\" data-original-value=\"Not required\" data-order=\"Not required\" >Not required <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A8\" data-x=\"0\" data-y=\"8\" data-db-index=\"8\" class=\"\" data-cell-type=\"text\" data-original-value=\"Exam Style\" data-order=\"Exam Style\" >Exam Style <\/td><td data-cell-id=\"B8\" data-x=\"1\" data-y=\"8\" data-db-index=\"8\" class=\"\" data-cell-type=\"text\" data-original-value=\"Memorization-heavy and rule-based\" data-order=\"Memorization-heavy and rule-based\" >Memorization-heavy and rule-based <\/td><td data-cell-id=\"C8\" data-x=\"2\" data-y=\"8\" data-db-index=\"8\" class=\"\" data-cell-type=\"text\" data-original-value=\"Analytical and scenario-driven\" data-order=\"Analytical and scenario-driven\" >Analytical and scenario-driven <\/td><\/tr><\/tbody><\/table><!-- \/#supsystic-table-122.supsystic-table --><\/div><!-- \/.supsystic-tables-wrap --><!-- Tables Generator by Supsystic --><!-- Version:1.11.2 --><!-- http:\/\/supsystic.com\/ --><a title=\"WordPress Data Table Plugin\" style=\"display:none;\" href=\"https:\/\/supsystic.com\/plugins\/wordpress-data-table-plugin\/?utm_medium=love_link\" target=\"_blank\">WordPress Data Table Plugin<\/a> <h2 class=\"wp-block-heading\" id=\"h-what-s-the-series-63-exam\"><strong>What\u2019s the Series 63 Exam?<\/strong><\/h2> <p class=\"wp-block-paragraph\">The <a href=\"https:\/\/www.kansascity.com\/careers-education\/series-63-license-and-exam\/\">Series 63 exam<\/a> is your ticket to the sales side of the securities industry. It\u2019s what lets you legally talk to clients, open accounts, and sell securities at the state level through a broker-dealer.<\/p> <h3 class=\"wp-block-heading\" id=\"h-quick-series-63-facts\"><strong>Quick Series 63 Facts<\/strong><\/h3> <ul class=\"wp-block-list\"> <li>60 scored + 5 unscored questions<\/li> <li>75 minutes<\/li> <li>Passing score: 43\/60 (72%)<\/li> <\/ul> <p class=\"wp-block-paragraph\">You\u2019ll need this license if you plan to sell stocks, bonds, or mutual funds and work directly with clients as a registered representative. It\u2019s designed for sales roles\u2014direct, rules-based, and focused on transactions rather than advice.<\/p> <p class=\"wp-block-paragraph\">\ud83d\udca1 <strong>Heads-Up<\/strong>: It\u2019s all about state securities laws and ethical practices under the Uniform Securities Act. Memorize those rules cold\u2014that\u2019s the key to passing.<\/p> <h2 class=\"wp-block-heading\" id=\"h-what-s-the-series-65-exam\"><strong>What\u2019s the Series 65 Exam?<\/strong><\/h2> <p class=\"wp-block-paragraph\">The <a href=\"https:\/\/www.kansascity.com\/careers-education\/series-65-exam\/\">Series 65 exam<\/a> is the license for the advice side of the financial services industry. It qualifies you to provide investment advice, manage client portfolios, and work as an investment adviser representative under a registered investment adviser (RIA) firm.<\/p> <h3 class=\"wp-block-heading\" id=\"h-quick-series-65-facts\"><strong>Quick Series 65 Facts<\/strong><\/h3> <ul class=\"wp-block-list\"> <li>130 scored + 10 unscored questions<\/li> <li>180 minutes<\/li> <li>Passing score: 92\/130 (70.76%)<\/li> <\/ul> <p class=\"wp-block-paragraph\">If you\u2019re helping clients plan, invest, or manage money long-term, this is your license. It\u2019s built for advisers who focus on guidance and strategy, not just transactions.<\/p> <p class=\"wp-block-paragraph\">\ud83d\udca1 <strong>Heads-Up<\/strong>: No sponsorship required here. The 65 is heavier on economic factors, investment vehicle characteristics, and client strategy\u2014less about memorizing, more about thinking like an adviser.<\/p> <figure class=\"wp-block-image aligncenter size-full\"><img loading=\"lazy\" decoding=\"async\" width=\"1024\" height=\"853\" src=\"https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/11\/Series-63-vs.-65-info.png\" alt=\"Series 63 vs 65\" class=\"wp-image-7125\" srcset=\"https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/11\/Series-63-vs.-65-info.png 1024w, https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/11\/Series-63-vs.-65-info-300x250.png 300w, https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/11\/Series-63-vs.-65-info-768x640.png 768w, https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/11\/Series-63-vs.-65-info-150x125.png 150w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/figure> <h2 class=\"wp-block-heading\" id=\"h-which-exam-is-harder-series-63-or-65\"><strong>Which Exam Is Harder: Series 63 or 65?<\/strong><\/h2> <p class=\"wp-block-paragraph\">The Series 63 is shorter and focused on memorization of state laws, ethics, and what\u2019s allowed under regulations. The Series 65 is longer and more analytical, requiring you to apply investment principles to client scenarios.<\/p> <p class=\"wp-block-paragraph\">If you like memorizing clear-cut rules, the 63 feels simpler. If you prefer reasoning through financial advice, the 65 will challenge you more. Both are respected and essential for different finance paths.<\/p> <p class=\"wp-block-paragraph\">To help you pass either exam, check out the top Series 63 study materials and <a href=\"https:\/\/www.kansascity.com\/careers-education\/best-series-65-prep-courses\/\">best Series 65 courses<\/a>.<\/p> <figure class=\"wp-block-pullquote has-small-font-size\"><blockquote><p>\ud83d\udcac <em>\u201cI\u2019ve taken and passed the SIE, 6, 63, 65 &amp; 7. Time is something you\u2019ll need to focus on for sure when preparing, but content-wise it was probably the easiest one of the bunch I took, with maybe the exception of the SIE, but it\u2019s close.\u201d<\/em><\/p><cite><a href=\"https:\/\/www.reddit.com\/r\/Series7exam\/comments\/o55jxl\/comment\/h2lbx4f\/\">Student Review<\/a><\/cite><\/blockquote><\/figure> <h2 class=\"wp-block-heading\" id=\"h-sales-or-advice-what-your-license-means-for-you\"><strong>Sales or Advice: What Your License Means for You<\/strong><\/h2> <ul class=\"wp-block-list\"> <li><strong>Series 63 \u2192 Sales<\/strong><strong><br><\/strong>This license puts you on the broker-dealer side of the business. You\u2019ll handle transactions, open accounts, and make sure every trade follows state securities laws. It\u2019s the entry point for most sales roles, ideal if you\u2019re starting out as a registered representative or joining a brokerage firm.<\/li> <li><strong>Series 65 \u2192 Advice<\/strong><strong><br><\/strong>This one\u2019s for the investment adviser side. You\u2019ll manage client portfolios, build long-term financial plans, and provide fee-based investment advice through a registered investment adviser (RIA). It\u2019s perfect if you want flexibility, independence, or your own advisory practice.<\/li> <\/ul> <h2 class=\"wp-block-heading\" id=\"h-do-you-need-both\"><strong>Do You Need Both?<\/strong><\/h2> <p class=\"wp-block-paragraph\">Usually, you don\u2019t. You\u2019ll take the Series 63 (often with the 6 or 7) if you\u2019re selling securities through a broker-dealer, or the Series 65 if you\u2019re providing investment advice through an RIA.<\/p> <p class=\"wp-block-paragraph\">You\u2019d only need both if your role combines sales and advisory duties common at hybrid firms, where advisers earn both commissions and fees.<\/p> <p class=\"wp-block-paragraph\">If your career involves both selling securities products and managing client portfolios, check with your compliance officer to confirm the right registration mix.<\/p> <h2 class=\"wp-block-heading\" id=\"h-quick-quiz-which-exam-fits-you-series-63-or-65\"><strong>Quick Quiz: Which Exam Fits You: Series 63 or 65?<\/strong><\/h2> <p class=\"wp-block-paragraph\">Still not sure which one sounds best for you? Here\u2019s a quick little quiz to narrow it down.<\/p> <style type=\"text\/css\" id=\"supsystic-table-123_34870-css\">\/* Here you can add custom CSS for the current table *\/ \/* Lean more about CSS: https:\/\/en.wikipedia.org\/wiki\/Cascading_Style_Sheets *\/ \/* To prevent the use of styles to other tables use \"#supsystic-table-123\" as a base selector for example: #supsystic-table-123 { ... } #supsystic-table-123 tbody { ... } #supsystic-table-123 tbody tr { ... } *\/ div#supsystic-table-123_wrapper { width: 60%; margin: 0 auto; } table#supsystic-table-123 { border: none !important; } .supsystic-tables-wrap .dataTables_scrollHead table.supsystic-table { border-bottom: unset !important; } .supsystic-tables-wrap thead th.htCenter { text-align: center !important; } span.discount { margin-top: 6px; display: inline-block; float: left; font-weight: 400; width: 100%; font-size: 12px; } .supsystic-tables-wrap tbody tr td:nth-child(1) { font-size: 16px; } .supsystic-tables-wrap thead th { font-size: 16px; 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width:33.3333%;\" >Question <\/th><th data-cell-id=\"B1\" data-x=\"1\" data-y=\"1\" data-db-index=\"1\" class=\"\" data-cell-type=\"text\" data-original-value=\"\ud83c\udd50 Option A\" data-order=\"\ud83c\udd50 Option A\" style=\"min-width:33.3333%; width:33.3333%;\" >\ud83c\udd50 Option A <\/th><th data-cell-id=\"C1\" data-x=\"2\" data-y=\"1\" data-db-index=\"1\" class=\"\" data-cell-type=\"text\" data-original-value=\"\ud83c\udd51 Option B\" data-order=\"\ud83c\udd51 Option B\" style=\"min-width:33.3333%; width:33.3333%;\" >\ud83c\udd51 Option B <\/th><\/tr><\/thead><tbody><tr style=\"height:px\" ><td data-cell-id=\"A2\" data-x=\"0\" data-y=\"2\" data-db-index=\"2\" class=\"\" data-cell-type=\"text\" data-original-value=\"1. Your workday looks like:\" data-order=\"1. Your workday looks like:\" >1. Your workday looks like: <\/td><td data-cell-id=\"B2\" data-x=\"1\" data-y=\"2\" data-db-index=\"2\" class=\"\" data-cell-type=\"text\" data-original-value=\"Talking to clients, opening accounts\" data-order=\"Talking to clients, opening accounts\" >Talking to clients, opening accounts <\/td><td data-cell-id=\"C2\" data-x=\"2\" data-y=\"2\" data-db-index=\"2\" class=\"\" data-cell-type=\"text\" data-original-value=\"Giving advice and planning investments\" data-order=\"Giving advice and planning investments\" >Giving advice and planning investments <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A3\" data-x=\"0\" data-y=\"3\" data-db-index=\"3\" class=\"\" data-cell-type=\"text\" data-original-value=\"2. You prefer:\" data-order=\"2. You prefer:\" >2. You prefer: <\/td><td data-cell-id=\"B3\" data-x=\"1\" data-y=\"3\" data-db-index=\"3\" class=\"\" data-cell-type=\"text\" data-original-value=\"Memorizing rules\" data-order=\"Memorizing rules\" >Memorizing rules <\/td><td data-cell-id=\"C3\" data-x=\"2\" data-y=\"3\" data-db-index=\"3\" class=\"\" data-cell-type=\"text\" data-original-value=\"Analyzing client goals\" data-order=\"Analyzing client goals\" >Analyzing client goals <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A4\" data-x=\"0\" data-y=\"4\" data-db-index=\"4\" class=\"\" data-cell-type=\"text\" data-original-value=\"3. Dream job:\" data-order=\"3. Dream job:\" >3. Dream job: <\/td><td data-cell-id=\"B4\" data-x=\"1\" data-y=\"4\" data-db-index=\"4\" class=\"\" data-cell-type=\"text\" data-original-value=\"Broker-dealer agent\" data-order=\"Broker-dealer agent\" >Broker-dealer agent <\/td><td data-cell-id=\"C4\" data-x=\"2\" data-y=\"4\" data-db-index=\"4\" class=\"\" data-cell-type=\"text\" data-original-value=\"Independent adviser or portfolio manager\" data-order=\"Independent adviser or portfolio manager\" >Independent adviser or portfolio manager <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A5\" data-x=\"0\" data-y=\"5\" data-db-index=\"5\" class=\"\" data-cell-type=\"text\" data-original-value=\"4. Work setup:\" data-order=\"4. Work setup:\" >4. Work setup: <\/td><td data-cell-id=\"B5\" data-x=\"1\" data-y=\"5\" data-db-index=\"5\" class=\"\" data-cell-type=\"text\" data-original-value=\"Sponsored by a broker-dealer\" data-order=\"Sponsored by a broker-dealer\" >Sponsored by a broker-dealer <\/td><td data-cell-id=\"C5\" data-x=\"2\" data-y=\"5\" data-db-index=\"5\" class=\"\" data-cell-type=\"text\" data-original-value=\"Independent or RIA\" data-order=\"Independent or RIA\" >Independent or RIA <\/td><\/tr><tr style=\"height:px\" ><td data-cell-id=\"A6\" data-x=\"0\" data-y=\"6\" data-db-index=\"6\" class=\"\" data-cell-type=\"text\" data-original-value=\"5. Exam length you\u2019ll tolerate:\" data-order=\"5. Exam length you\u2019ll tolerate:\" >5. Exam length you\u2019ll tolerate: <\/td><td data-cell-id=\"B6\" data-x=\"1\" data-y=\"6\" data-db-index=\"6\" class=\"\" data-cell-type=\"text\" data-original-value=\"75 minutes\" data-order=\"75 minutes\" >75 minutes <\/td><td data-cell-id=\"C6\" data-x=\"2\" data-y=\"6\" data-db-index=\"6\" class=\"\" data-cell-type=\"text\" data-original-value=\"180 minutes\" data-order=\"180 minutes\" >180 minutes <\/td><\/tr><\/tbody><\/table><!-- \/#supsystic-table-123.supsystic-table --><\/div><!-- \/.supsystic-tables-wrap --><!-- Tables Generator by Supsystic --><!-- Version:1.11.2 --><!-- http:\/\/supsystic.com\/ --><a title=\"WordPress Data Table Plugin\" style=\"display:none;\" href=\"https:\/\/supsystic.com\/plugins\/wordpress-data-table-plugin\/?utm_medium=love_link\" target=\"_blank\">WordPress Data Table Plugin<\/a> <h3 class=\"wp-block-heading\" id=\"h-quiz-results\"><strong>Quiz Results:<\/strong><\/h3> <p class=\"wp-block-paragraph\">\u2705 Get <em>Mostly <\/em><strong><em>A\u2019s? \u2192<\/em><\/strong><strong> Series 63<\/strong> (sales-focused, transaction-driven)<br>\u2705 Have <em>Mostly <\/em><strong><em>B\u2019s \u2192<\/em><\/strong> <strong>Series 65<\/strong> (advice-focused, analytical path)<\/p> <h2 class=\"wp-block-heading\" id=\"h-final-thoughts\"><strong>Final Thoughts<\/strong><\/h2> <p class=\"wp-block-paragraph\">Both exams open doors to professional growth: one through securities sales, the other through personalized financial advice. The Series 63 shows you can operate ethically within state rules, while the Series 65 demonstrates analytical depth and client insight.<\/p> <p class=\"wp-block-paragraph\">Choose the license that fits your long-term goals: executing trades or guiding investments. Either way, both paths lead to trusted, impactful careers in finance.<\/p> <h2 class=\"wp-block-heading\" id=\"h-faqs\"><strong>FAQs<\/strong><\/h2> <div class=\"schema-faq wp-block-yoast-faq-block\"><div class=\"schema-faq-section\" id=\"faq-question-1763364680192\"><strong class=\"schema-faq-question\"><strong>Who oversees these licensing exams?<\/strong><\/strong> <p class=\"schema-faq-answer\">The Series 63 and 65 exams are developed by NASAA and administered by FINRA in coordination with state securities regulators.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1763364686748\"><strong class=\"schema-faq-question\"><strong>What does a broker-dealer do?<\/strong><\/strong> <p class=\"schema-faq-answer\">A broker-dealer executes securities transactions for clients and supervises broker-dealer agents who sell investment products under state registration requirements.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1763364691843\"><strong class=\"schema-faq-question\"><strong>Who are securities administrators?<\/strong><\/strong> <p class=\"schema-faq-answer\">Securities administrators enforce state securities laws, oversee registration, and ensure compliance among securities agents and investment advisers.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1763364697014\"><strong class=\"schema-faq-question\"><strong>Who needs the Series 65?<\/strong><\/strong> <p class=\"schema-faq-answer\">The Series 65 is for securities industry professionals seeking to become investment adviser representatives or independent advisers. It\u2019s ideal for those who plan to provide investment advice or manage client portfolios for a registered investment adviser (RIA).<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1763364707312\"><strong class=\"schema-faq-question\"><strong>Do You Need a Sponsor for the Series 63 or 65?<\/strong><\/strong> <p class=\"schema-faq-answer\">To enter the securities business, you\u2019ll need to meet different approval steps. The Series 63 requires sponsorship from a broker-dealer, while the Series 65 can be taken independently through a registered investment adviser (RIA) or on your own.<\/p> <\/div> <\/div> ","protected":false},"excerpt":{"rendered":"<p>Starting a career in finance? You\u2019ll need the right license to match your goals, whether you&#8217;re selling securities or providing investment advice. As someone who reviews exam prep materials, I\u2019ve seen many candidates struggle to choose the right license. Plus, it doesn\u2019t help that with so many exams listed on FINRA, it\u2019s easy to get [&hellip;]<\/p> ","protected":false},"author":11,"featured_media":7124,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[3,244],"tags":[],"class_list":["post-7121","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-careers-education","category-finance"],"acf":{"external_author":[129],"external_editor":"","select_template":"default","not_show_feature_image":false,"hide_toc":false},"featured_image_src":"https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/11\/Series-63-vs.-65-feature-img-768x401.png","author_info":{"display_name":"","author_link":"https:\/\/www.kansascity.com\/careers-education\/author\/"},"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.7 (Yoast SEO v27.7) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Series 63 vs 65: Which Do You Need?<\/title>\n<meta name=\"description\" content=\"Compare the Series 63 and 65 exams to find which fits your finance career, selling securities, or giving investment advice under state law.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.kansascity.com\/careers-education\/series-63-vs-65\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Series 63 vs 65: Which Do You Need?\" \/>\n<meta property=\"og:description\" content=\"Compare the Series 63 and 65 exams to find which fits your finance career, selling securities, or giving investment advice under state law.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.kansascity.com\/careers-education\/series-63-vs-65\/\" \/>\n<meta property=\"og:site_name\" content=\"Kansas City Star - Careers &amp; 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