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The Series 6 License: What it is and How to get it

by Julie Mendel, SILA-A, CDEI | Sep 20, 2022
The Series 6 License

Financial professionals looking further their career and obtain the Investment Company and Variable Contracts Products registration must pass the Securities Industry Essentials (SIE) and Series 6 exams. The Series 6 is one of many qualifying exams individuals can take to gain entry into the securities industry.

What is the Series 6 License?

For those in the insurance industry, the Series 6 is a required companion license to sell products with underlying investment vehicles like variable annuity products. With the Series 6 license individuals can solicit, purchase, or sell mutual funds (closed-end funds on the initial public offering only), variable annuities, variable life insurance, unit investment trusts, and municipal fund securities (such as 529 savings plans). To sell products like corporate or municipal securities, direct participation programs, stocks and options, a Series 7 registration is required.

A Series 6 license is valid if the representative is actively employed in the securities industry.

How Do Candidates Get a Series 6 License?

The first step in acquiring a Series 6 license is to be sponsored by a FINRA (Financial Industry Regulatory Authority) registered member firm or self-regulatory organization (SRO). The firm is responsible for filing a Uniform Application for Securities Industry Registration (Form U4), authorizing individuals to take the exam.

If individuals seeking the Series 6 license do not have a FINRA member firm sponsor, FINRA has a program designed to match individuals to hiring firms.

What is the Series 6 Exam?

The Series 6 exam tests individuals on their competency to perform their job as registered representative licensed to sell packaged products as referenced above.

There are four key components of the exam as published in the content outline on the FINRA website:

  1. Seeks Business for the Broker-Dealer from Customers and Potential Customers
  2. Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
  3. Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
  4. Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions

The exam has 50 questions with a 1 hour and 30 minute time limit to complete the exam and candidates must achieve a passing score of at least 70%.

How do Candidates Prepare for the Series 6 Exam?

There are no requirements to complete an exam prep course, however, taking a course can provide candidates with an in-depth review of the exam’s general content and format, optional practice exams, and other study tools.

Online exam prep courses and study tools, like WebCE's Series 6 Complete Exam Prep Package, are available to help candidates enhance their knowledge of the material and practice for exam day.  

  • Read-it-to-me audio for all course content 
  • Flash Tutor online flashcards, mobile-friendly and perfect for reviewing key terms and concepts on the go 
  • Exam Tutor exam simulator, which allows students to take full practice exams or build custom exams to test their knowledge on specific topics 
  • Study Guide Workbook, designed as a companion for the course material to write notes and complete exercises 
  • My Study Planner, which assists with creating a customized learning plan because daily studying is important for mastering the key concepts 

WebCE’s securities exam prep course packages provide convenient, effective study solutions for passing the Series 6 exam. Those looking to get the Series 6 license who have not completed the SIE exam can save even more with the WebCE combination SIE + Series 6 Complete Exam Prep Package. To order the securities exam prep needed to take one step closer to a career in the securities industry, visit our Securities Exam Prep Course Catalog.