Series 6 Securities Licensing Exam Prep & Study Materials

About The FINRA Series 6 License

What is a FINRA Series 6 License? A Series 6 license qualifies an individual to sell investment company securities, mutual funds, variable annuities, and variable life insurance products.

By successfully passing the Series 6 exam, you will be qualified by the Financial Industry Regulatory Authority (FINRA) as an Investment Company Products/Variable Contracts Representative in the United States.

How To Earn Your Series 6 License

To earn your FINRA Series 6 license, you are required to take both a Securities Industry Essentials (SIE) exam and a series 6 exam. AB Training Center provides provides both SIE and the Series 6 license review courses in online, self-study courses, or in-person class formats. Each is designed to help you prepare - and pass - your Series 6 exam and become a registered representative.

Don't worry about test anxiety - we offer numerous practice exams and test questions to help you pass your SIE and your Series 6 securities exam, including hundreds or exam practice questions and exam secrets study guide tips covering information on the FINRA rules, permitted activities, regulatory fundamentals, and investment products you can sell with your Series 6 license.

Available SIE And Series 6 License Review Classes

TrainingCenter offers several different types of training classes to help you meet your SIE and Series 6 training goals, including in-person, online, and self-study options. All of these options come with a detailed Series 6 study guide and exam prep materials, as well as numerous sample test questions designed to help you pass your Series 6 exam the first time. You have three options for ordering your Series 6 Licensing courses: order only a Securities Industry Essentials course; order a Series 6 course only, or; order both at the same time for a discounted price.

Available SIE License Review Classes

Securities Industry Essentials (SIE) Exam - Live Webinar With OnDemand Playback

Available Series 6 License Review Classes

Good luck with your Series 6 test preparation and earning your Series 6 license!

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Licensing Requirements For A FINRA Series 6 License

A Series 6 license qualifies an individual to sell investment company securities, mutual funds, variable annuities, and variable life insurance products. A Series 6 license requires you to take and pass both a Securites Industries Essentials and the Series 6 Top-Off Course.

Required Classroom Hours
- Securites Industries Essentials: 24 hours
- Series 6 Top-Off Course: 16 hours
Recommended Study Time To Pass Your Series 6 Exam

For the SIE exam, you should plan to spend between 100-150 hours with the materials prior to attending the Live Classroom Review to maximize your learning. For the Series 6 Top-Off exam, candidates should plan to spend approximately 80 hours with their materials.
Recommended Series 6 Pre-Licensing Course(s)

A Series 6 license requires you to take and pass both the SIE exam and the Series 6 Top-Off Course. Check the listing of "Recommended Courses" below for both types of suggested Series 6 pre-licensing courses.

What Is - And Is On - The Series 6 Exam?

The Series 6 test evaluates candidates' knowledge and skills related to the duties of an investor and variable contracts products representative. Specifically, it covers the job functions of a registered representative, including: variable contract products, unit investment trusts, communications with the public, evaluating customer financial information, and the four main sections that detail an investment company's four main job functions; namely:

Seeking Business for the Broker-Dealer From Current and Potential Customers

The first section tests candidates' knowledge of properly contacting customers, delivering promotional materials and describing products and services. It contains 12 questions - 24 percent of the exam - regarding:
- Types, standards and approvals of public communication
- Product-specific disclosures and advertising
- Prospectus requirements
- The process of bringing new issues to market
- Official statements
Opening Accounts After Receiving and Evaluating Financial Profiles and Investment Objectives

Section two highlights how to inform customers of their accounts and obtain and update customer information. This section contains eight questions that make up 16 percent of the exam, including:
- Types of accounts, account registration, and account authorizations
- Requirements for opening an account
- Wealth events
- Customer screening
- Privacy regulations
- Assessing investment profiles
- Investment objectives and strategies
- Refusing or closing an account
Providing Customers With Information and Recommendations Concerning Investments and Assets

Section three focuses on investment strategies and profiles. It's the largest portion of the Series 6 test, composing 50 percent of all exam questions. You'll answer 25 questions regarding:
- Product selection
- Portfolio analysis and theory
- Inventory valuation methods
- Underlying securities types
- Tax treatment and considerations
- Packaged products
- Transactions disclosures
- Types of investment risks and returns
- Account value and records
Obtaining and Verifying Purchase and Sale Instructions and Completing Transactions

The smallest section, concerning quotes and transactions processes, composes 10 percent of the exam. You'll answer five questions about:
- Customer account transactions
- Transactions settlements and delivery requirements
- Errors and rebills
- Formal resolution methods
- Proper processes for addressing customer complaints

A thorough Series 6 exam content outline is available on the FINRA website.

About The SIE: Exam Requirements and Information

The SIE is an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, including the structure of the securities industry markets and types of products and their risks, as well as regulatory agencies and their functions, prohibited practices.

The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

There are no pre-requisites to taking the Securities Industry Essentials Exam, and once you pass your SIE exam, you have one full year to study for and pass your Series 6 exam.

About The Series 6: Exam Requirements and Information

The FINRA Series 6 examination is a national test and does not vary by state.

Number of Items: 50
Format: Multiple Choice
Duration: 90 minutes
Passing Score: 70%

Please note that a Series 6 license is often partnered with a Series 63 license, which qualifies individuals to sell across state lines.

FINRA Series 6 Training Courses

The Series 6 license is a license granted by the Financial Industry Regulatory Authority (FINRA), that qualifies you as an Investment Company Products/Variable Contracts Representative in the United States. If you want to sell investment company securities, variable annuities, mutual funds or variable life insurance products in your state, you will need at least a Series 6 license.

Available Study Guides And Test Prep Materials For The SIE And Series 6 Exams

Everyone has unique learning styles, work schedules, and other factors that play into their study habits. At AB Training Center, we're dedicated to providing Series 6 candidates with a wide range of exam prep products to accommodate every need. We've partnered with some of the leaders in financial education, such as Kaplan Financial, to offer students across the country the ability to learn under expert instructors with top-quality study tools.

Alternatively, you can select a self-study option. Either way, you'll receive Series 6 exam prep materials that include numerous practice questions that help you pass your qualification exams and your securities licensing exam (SIE and 6, respectively.

Choose from one or more of the following Series 6 exam study materials for a well-rounded experience proven to help students pass their SIE and Series 6 exams the first time they take them:

Live Classroom Courses
Many Series 6 candidates prefer learning in a traditional face-to-face setting. A live seminar gives you the chance to ask questions to experts in the financial sector before your exam and receive insights from your peers. You'll also have access to self-study materials devoted to helping you master various Series 6 concepts. We offer classroom instruction in cities across the country. Browse our available in-person course options to find your nearest location.
Live and On-Demand Webinars
Many full-time employees and students who don't have access to a live classroom location enjoy the combined online and face-to-face experience of a webinar. Watch and interact with your instructor in real time, or watch your classes anywhere, anytime with on-dema