Instructions

• 1). Get hired at a brokerage firm that will sponsor you for the FINRA Series 65 and 63 exams. FINRA does not allow individuals to become registered without being part of an organization already registered as a broker-dealer of securities.
  
  
• 2). Contact your supervisor or human resources department about obtaining the paperwork required to take the Series 65 and 63 exams. The paperwork includes a fingerprint card, exam registration and filling out a U4 form. It may also include study material or class registration.
  
  
• 3). Fill out the U4 paperwork completely. You must account for your past 10 years of work, residence and education, as well as any court proceedings, convictions or bankruptcy filings. Omissions in your background may prevent you from being able to take the exam.
  
  
• 4). Get fingerprinted on the card(s) provided by going to a notary public, police station or certain public mailbox rental locations. This is required as part of your background check and bonding for financial institutions.
  
  
• 5). Turn in the U4, fingerprint cards and exam registration forms to your human resources department or supervisor.
  
  
• 6). Pass both exams with a score of 70 percent or higher. The Series 65 is a three-hour exam with 130 questions; the Series 63 is a one-hour, 15-minute exam with 60 questions. Both exams are multiple-choice.
  
  
• 7). Obtain and complete an Investment Agency Registration Depository Form ADV from your human resources department or directly through the Central Registration Depository, accessed through the FINRA website (www.finra.org). As of May 2007, Florida registrations are done through the CRD. The fee as of 2010 is $200, and should be submitted with the registration form.