Is Sponsorship Required for the Series 6 Exam?

​Yes, sponsorship is required to take the Series 6 exam. To be eligible, you must be associated with and sponsored by a FINRA member firm or another applicable self-regulatory organization (SRO) member firm. This sponsorship involves the firm submitting a Form U4 (Uniform Application for Securities Industry Registration or Transfer) on your behalf. ​Investopedia+6FINRA+6Investopedia+6Investopedia+3Kaplan Financial+3Insurance Business+3

In contrast, the Securities Industry Essentials (SIE) exam—a co-requisite for the Series 6—does not require sponsorship. You can take the SIE exam independently, even before securing employment with a firm. ​

After passing both the SIE and Series 6 exams, you must register your license through your sponsoring firm. This registration allows you to legally sell specific securities products, such as mutual funds, variable annuities, and unit investment trusts.​Kaplan Financial

If you’re currently seeking sponsorship, consider reaching out to:

• Insurance companies that offer investment products
• Banks with investment services divisions
• Broker-dealers that hire entry-level representatives​Insurance Business

Many firms are open to sponsoring candidates who demonstrate commitment and a solid understanding of the industry.​Insurance Forums