What my licenses mean
Securities licenses in plain English
Series 65
Uniform Investment Adviser Law Exam · Passed May 2026
Qualifies someone to act as an investment adviser representative: giving personalized investment advice for a fee, under a fiduciary duty to put the client's interests first.
Series 63
Uniform Securities Agent State Law Exam
Covers state securities laws and ethics. Most states require it, alongside a FINRA exam, before a representative can do securities business with their residents.
Series 6
Investment Company & Variable Contracts Representative
Allows a representative to work with "packaged" products: mutual funds, variable annuities, and similar investments common in 401(k), 403(b), and 457 plans.
Series 7
General Securities Representative · Previously held, retake in progress
The broadest representative license, covering individual stocks, bonds, options, and more.
Verify for yourself
Anyone can look up a financial professional's registration history for free on FINRA BrokerCheck. Search for Joseph Lynch.
While between firms, I'm keeping my qualifications current through FINRA's Maintaining Qualifications Program (MQP).
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