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NASD Series 6

Need Information On Obtaining Your NASD Series 6 License?

The Investment Company Products/Variable Contracts Limited Representative, or NASD Series 6 license, is the license you need to be qualified to sell mutual funds and/or variable annuities for an insurance or mutual funds company.

There are no prerequisites to obtain a Series 6 license, but there are procedures you need to follow before you will be allowed to sit for the NASD Series 6 exam.

Get fingerprinted through your local government office.
Fill out form U-4 , downloadable here, and return the form along with your fingerprints to your broker/dealer.
Have your firm file the form with FINRA (formerly NASD). Note: Your firm must be the one to file the form. This proves to FINRA that you have a company sponsor.
Once FINRA processes the file, they will return an enrollment confirmation back to you showing you a "testing window". This window is the amount of time you have to sit for the exam to obtain your NASD Series 6 license (usually a 4 month window).

Definition of a Series 6 Exam

The Series 6 exam contains 100 multiple choice questions. You are allowed 135 minutes for completion. You must pass the test with 70% or better in order to receive your Series 6 license. You will register for the exam through Prometric Testing Centers, www.prometric.com/finra.

Available Training and Materials for Series 6 License

To find Series 6 training, simply click on any of the recommended courses below, or search under "Licensing" in the search box thereafter for "Series 6".

Good luck with your Series 6!

Recommended Books, CDs, and DVDs

Series 6 Elite Package

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