North Carolina expressly requires Series 63 for a securities salesperson, in addition to the function-appropriate national qualification and firm registration workflow. State fee is $125 initially and annually. The applicant must be registered before selling; exam passage alone is insufficient.
Source: North Carolina Securities FAQ (https://www.sosnc.gov/frequently_asked_questions/by_title/_securities_Industry?area=Divisions).
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; exam passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application fee
- State fee is $125 initially and annually.
- Application channel / system
- File through the applicable CRD/IARD channel and obtain state approval before regulated activity.
- Official application reference
- https://www.sosnc.gov/frequently_asked_questions/by_title/_securities_Industry?area=Divisions
Renewal & maintenance
- CE hours
- FINRA, state, and firm continuing-education duties depend on effective registrations and current rules.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted unless expressly documented.
Source governance
- Primary authoritative source
- https://www.sosnc.gov/frequently_asked_questions/by_title/_securities_Industry?area=Divisions
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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