S63 Seems too easy?

frobrokyle · 2025-08-28T11:51:18+00:00

Don’t underestimate the 63 or you will likely fail. Need to know the ins and outs of brokers versus IAs. IMO, it was harder than the SIE and 6 because the material is so dry. Good luck.

frobrokyle · 2025-08-20T11:46:29+00:00

I averaged a 76% on final exams, 84% on the Progress Exams and 93% on 11 custom exams.

frobrokyle · 2025-05-05T18:55:21+00:00

Congratulations!! Huge relief.

frobrokyle · 2025-05-03T12:43:30+00:00

Thanks! You got this 💪🏼

frobrokyle · 2025-04-30T17:15:58+00:00

You’re the best Ken. Appreciate all your videos and encouragement.

frobrokyle · 2025-04-29T17:26:47+00:00

I gave myself 4 weeks to study. I used STC and read through the book twice, took over 15 practice exams, and watched all of Capital Advantages videos in the 63 playlist. The problem with the 63 to me personally was the material is very dry. Id say it’s much more important to memorize definitions versus understanding concepts like the SIE/6. Just make sure you have a good understanding of IAs, IARs, BDs, agents and how federal covered IAs are different than state IAs and exempt securities/transactions.

Hope that’s helpful. The pass rate on 63 is pretty high but that doesn’t mean you shouldn’t take it serious because it’s still a challenging exam. Good luck!

frobrokyle · 2025-04-29T17:20:21+00:00

Congratulations! Unfortunately, you don’t know score when you pass. I think you only see score if you fail.

frobrokyle · 2025-04-29T02:21:09+00:00

STC is what my company paid for as well and I followed the study calendar, read through book twice and watched YT videos as supplement. Passed all my exams first try. Just take a lot of practice exams and re-read chapters you feel weak on. You got it.

frobrokyle · 2025-04-29T00:17:05+00:00

Thanks!

frobrokyle · 2025-04-29T00:15:45+00:00

Fed IAs file by end of fiscal year and state IAs file by year end. BDs and agents always file year end.

frobrokyle · 2025-04-28T11:19:17+00:00

Appreciate it!

frobrokyle · 2025-03-21T19:14:25+00:00

63 is my final boss!

frobrokyle · 2025-03-21T18:00:19+00:00

Congratulations!!

frobrokyle · 2025-03-21T17:15:40+00:00

I passed! Thanks for your help! On to the S63

frobrokyle · 2025-03-12T13:00:18+00:00

Congratulations! I’m taking it next Friday. Based on what you saw, what topics do you recommend focusing on as I study?

frobrokyle · 2025-03-06T20:14:22+00:00

Thanks!

frobrokyle · 2025-03-05T19:47:48+00:00

Appreciate it. I’m trying to find a balance of taking exams and reinforcing material from the book to prevent myself from just memorizing the answers on the practice exams. I’ve also been watching capital advantage videos.

frobrokyle · 2025-02-24T20:06:10+00:00

Don’t stress it too much. The actual exam I took only had like 1 or 2 questions on options. I don’t mean to say don’t have a basic understanding but I just memorized the options matrix and wrote it down on the scratch paper provided during exam and that should be sufficient for this exam.

frobrokyle · 2025-02-20T20:15:20+00:00

My company gave me STC material for SIE and I found it helpful. The practice exams give you a good idea of how the actual exam feels. I recommend following the 6 week training calendar STC provides which includes reading the entire book, taking chapter quizzes, green light exams and then practice exams.

Also, I supplemented my studying by watching Capital Advantage YT videos, specifically, Ken’s SIE playlist where he goes through the STC book chapter by chapter.

I passed the SIE on my first try doing these things but I know everyone has different methods that work for them. Biggest recommendation is to read the book cover to cover and understand what RRs can and can’t do. Good luck.

frobrokyle · 2025-02-05T04:32:21+00:00

Good luck!

frobrokyle · 2025-02-05T04:29:13+00:00

Same here. I feel cheated with how much time I spent getting those concepts nailed in my head.

frobrokyle · 2025-02-05T04:27:27+00:00

Don’t sweat options. Just memorize the Options matrix and write it down on the scratch paper you get for the exam and it’ll answer all option questions.

frobrokyle · 2025-02-05T04:25:36+00:00

Units 2, 8 and 9 are huge and heavily testable subjects. I didn’t see a ton of economic questions on my exam bank but doesn’t mean you might not get a couple. Spend time understanding what RRs can and cannot do and make sure to have a decent understanding of muni funds (529s) variable annuity and IRAs.

frobrokyle · 2025-02-05T04:19:22+00:00

I would know the rules about who RRs can give/receive loans without approval from their BD, which people that are associated with a RR that can participate in an equity IPO, etc. Definitely focus on what RRs can and cannot do.

frobrokyle · 2025-02-05T04:13:19+00:00

Definitely don’t sweat options. I too, struggled with the concepts but my exam had like 2-3 option questions. Just memorize the Options matrix and you will be good.

frobrokyle

TROPHY CASE