Series 6

(redirected from Series 6 Registered)

Series 6

A license entitling the holder to buy and sell mutual funds, variable annuities, and some insurance products on behalf of clients. In order to receive a Series 6 license, one must pass a multiple choice examination covering each of these investment vehicles, as well as the securities and tax regulations involved with them. The license and examination are administered by FINRA.

Series 6.

The Series 6 is a licensing examination that you must pass to be entitled to sell mutual funds and variable annuities to investors.

The examination, which is administered by NASD, is a 100-question multiple choice test that puts primary emphasis on knowledge of the products plus the securities and tax regulations that apply.

Anyone taking the exam must be sponsored by either an NASD member firm or an industry self-regulatory organization (SRO).

References in periodicals archive ?
The netCEP(SM) scenario library includes materials from the S201 Supervisors Program for registered principals and supervisors, the S106 Investment Company Representatives Program for Series 6 registered persons, and the S101 General Program for Series 7 registered persons, and all other registration categories.
The INVEST program at CalFed in California is one of the largest platform programs in the country with over 300 Series 6 registered bank employees offering a select line of financial products and services in over 120 branch locations throughout the state.
He is a chartered life underwriter and is a NASD Series 26 registered principal and Series 6 registered representative.
Saenz is also a licensed life insurance agent and a Series 6 Registered Representative.