Get Your Series 63 State Securities License Reinstated
A lapsed Series 63 license means you cannot legally transact securities business with state clients, which directly impacts your income and career. The good news is that reinstatement is possible, and many professionals have successfully navigated this process to get back to work.
Requires securing employment with FINRA member firm and may involve re-examination depending on lapse period. Multiple regulatory requirements and timelines to navigate.
⚠Why This Happens
Left employment without maintaining sponsorship
very commonMost common cause - when you leave a broker-dealer, your registration becomes inactive and will lapse if not transferred
Failed to complete continuing education requirements
commonMissing CE deadlines while registered can lead to license lapse
Moved to non-securities role and license went dormant
commonTaking a back-office or non-client facing role without maintaining active registration
🎯What To Do Right Now
- 1
Check your current registration status
Log into FINRA's WebCRD or contact FINRA to confirm exact status and lapse date
~30 minutes - 2
Find a sponsoring firm
You must be employed by or associated with a FINRA member firm to reinstate your license
~1-4 weeks - 3
Submit Form U4
Your new employer must file Form U4 through WebCRD to begin the reinstatement process
~1-2 days to file - 4
Determine if re-examination is required
If lapsed more than 2 years, you'll likely need to retake the Series 63 exam
~Varies based on lapse period
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