Yes, fine is $5,000 per instance if you do so and are not licensed.

Series 63 is an exam administered by Financial Regulatory Authority or FINRA. Completion of this exam entitles an individual with qualifications necessary to become a registered representative who solicite orders for corporate debt and equity securities such as bonds, preferred stock and more. Official exam and information can be found at FINRA website.

You can ask, but it would be a violations of privacy rules for that person to provide such in Question, Answers, Discussion Areas, or the Forums. What you ask via your private message board is entirely up to you. Be aware though that if you simply solicite (spam) others with your email address, it is likely to lead to termination of services.

Yes and you could take him to small claims court. Hopefully you approached the salesman because if this guy called you or came to your door asking for business, then it was probably a scam. A good and reputable business never has to solicite door to door or by phone.