Series 6 Exam Eligibility Requirements

🧾 Series 6 Exam Eligibility Requirements
📘 What You Need Before Taking the Investment Company Products/Variable Contracts Exam

The Series 6 exam—officially known as the Investment Company Products/Variable Contracts Representative Exam—is a FINRA-administered qualification for professionals who want to sell mutual funds, variable annuities, and other packaged investment products. Before you can take the exam, there are specific eligibility criteria you must meet. Here’s a clear breakdown.

✅ 1. Sponsorship by a FINRA-Member Firm

To sit for the Series 6 exam, you must be sponsored by a firm that is a member of FINRA or a self-regulatory organization (SRO).

• ❗️You cannot register independently—unlike the SIE exam, which is open to individuals without sponsorship.
• Your employer (typically a broker-dealer or insurance-affiliated firm) must file Form U4 (Uniform Application for Securities Industry Registration) on your behalf.

✅ 2. Must Also Pass the SIE Exam

The Securities Industry Essentials (SIE) exam is a corequisite for the Series 6.

• You can pass the SIE exam before or after your Series 6 exam, but you must have passed both to become fully registered.
• The SIE exam does not require sponsorship and can be taken independently.

✅ 3. No Specific Education or Degree Requirements

There are no formal educational prerequisites such as a college degree to take the Series 6. However:

• A basic understanding of investment products, financial concepts, and customer service practices is recommended.
• Many candidates have some experience or training in financial services, but it’s not mandatory.

✅ 4. No Prior Licensing Required

You don’t need to have passed any other licensing exams (aside from the SIE) to qualify for the Series 6.

• You do not need to take the Series 63 or 65 before the Series 6.
• However, depending on your state, a state law exam (like Series 63) may be required after Series 6 for full licensure.

✅ 5. Background and Disclosure Review

When Form U4 is submitted, it includes:

• A criminal background check
• Disclosure of any bankruptcies, liens, or civil actions
• Review of any past regulatory or criminal issues that may affect your ability to be licensed

📊 Summary Chart

🎓 Need help preparing for Series 6 and SIE exams?
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