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!

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