Career Details

Series 63, Uniform Securities Agent State Law Examination

Description

The Uniform Securities Agent State Law Examination was developed by NASAA in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.

Certifying Organization

North American Securities Administrators Association

Details

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Certificates

Certificate name

Master Financial Planner

Certifying Organization

American Academy of Financial Management

Type

Advanced

Certificate name

Certified Investment Management Analyst

Certifying Organization

Investments and Wealth Institute

Type

Advanced

Certificate name

Series 65, Uniform Investment Adviser Law Examination

Certifying Organization

North American Securities Administrators Association

Type

Core

Investment Fund Managers

Median Annual Income

$156,100

Projected Job Growth

+17 %

Career Cluster(s)

Management & Entrepreneurship

Most Common Education Level

Bachelor's degree

Plan, direct, or coordinate investment strategy or operations for a large pool of liquid assets supplied by institutional investors or individual investors.

EnterprisingConventionalInvestigative

Wholesale and Retail Buyers, Except Farm Products

Median Annual Income

$71,950

Projected Job Growth

+7 %

Career Cluster(s)

Supply Chain & Transportation

Most Common Education Level

Bachelor's degree

Buy merchandise or commodities, other than farm products, for resale to consumers at the wholesale or retail level, including both durable and nondurable goods. Analyze past buying trends, sales records, price, and quality of merchandise to determine value and yield. Select, order, and authorize payment for merchandise according to contractual agreements. May conduct meetings with sales personnel and introduce new products. May negotiate contracts. Includes assistant wholesale and retail buyers of nonfarm products.

EnterprisingConventionalRealistic

Credit Analysts

Median Annual Income

$79,420

Projected Job Growth

-4 %

Career Cluster(s)

Financial Services

Most Common Education Level

Bachelor's degree

Analyze credit data and financial statements of individuals or firms to determine the degree of risk involved in extending credit or lending money. Prepare reports with credit information for use in decisionmaking.

ConventionalEnterprisingInvestigative

Financial and Investment Analysts

Median Annual Income

$99,010

Projected Job Growth

+10 %

Career Cluster(s)

Financial Services

Most Common Education Level

Bachelor's degree

Conduct quantitative analyses of information involving investment programs or financial data of public or private institutions, including valuation of businesses.

ConventionalEnterprisingInvestigative

Personal Financial Advisors

Median Annual Income

$99,580

Projected Job Growth

+17 %

Career Cluster(s)

Financial Services

Most Common Education Level

Bachelor's degree

Advise clients on financial plans using knowledge of tax and investment strategies, securities, insurance, pension plans, and real estate. Duties include assessing clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives. May also buy and sell financial assets for clients.

EnterprisingConventionalSocial

Financial Risk Specialists

Median Annual Income

$106,090

Projected Job Growth

+8 %

Career Cluster(s)

Financial Services

Most Common Education Level

Bachelor's degree

Analyze and measure exposure to credit and market risk threatening the assets, earning capacity, or economic state of an organization. May make recommendations to limit risk.

ConventionalInvestigativeEnterprising

Loan Officers

Median Annual Income

$69,990

Projected Job Growth

+1 %

Career Cluster(s)

Financial Services

Most Common Education Level

Bachelor's degree

Evaluate, authorize, or recommend approval of commercial, real estate, or credit loans. Advise borrowers on financial status and payment methods. Includes mortgage loan officers and agents, collection analysts, loan servicing officers, loan underwriters, and payday loan officers.

ConventionalEnterprisingSocial

Real Estate Brokers

Median Annual Income

$63,060

Projected Job Growth

+2 %

Career Cluster(s)

Financial Services

Most Common Education Level

High school diploma or equivalent

Operate real estate office, or work for commercial real estate firm, overseeing real estate transactions. Other duties usually include selling real estate or renting properties and arranging loans.

EnterprisingConventional

Brokerage Clerks

Median Annual Income

$60,150

Projected Job Growth

-3 %

Career Cluster(s)

Financial Services

Most Common Education Level

High school diploma or equivalent

Perform duties related to the purchase, sale, or holding of securities. Duties include writing orders for stock purchases or sales, computing transfer taxes, verifying stock transactions, accepting and delivering securities, tracking stock price fluctuations, computing equity, distributing dividends, and keeping records of daily transactions and holdings.

ConventionalEnterprising

New Accounts Clerks

Median Annual Income

$44,630

Projected Job Growth

-15 %

Career Cluster(s)

Financial Services

Most Common Education Level

High school diploma or equivalent

Interview persons desiring to open accounts in financial institutions. Explain account services available to prospective customers and assist them in preparing applications.

ConventionalEnterprisingSocial