📊 Series 6 Licensing Overview Chart

The Series 6 license is a foundational qualification for individuals looking to enter the financial services industry as registered representatives. This license allows professionals to sell mutual funds, variable annuities, and insurance-related investment products — but not individual stocks or bonds.

Use this overview chart to quickly understand what the Series 6 license covers, who needs it, and how it compares to other securities licenses.

🗂️ Series 6 License at a Glance

🎯 What You Can Sell with Series 6

• ✅ Mutual funds
• ✅ Variable annuities
• ✅ Variable life insurance
• ✅ Unit Investment Trusts (UITs)
• ✅ Municipal fund securities (e.g., 529 plans)

🚫 What You Cannot Sell with Series 6

• ❌ Individual stocks and bonds
• ❌ Options contracts
• ❌ Direct participation programs (DPPs)
• ❌ ETFs that trade on the secondary market
• ❌ Commodities or futures contracts

📘 Ideal Candidates for Series 6

• Insurance agents expanding into investment products
• Financial professionals focused on packaged products
• Bank employees transitioning into securities sales
• Entry-level representatives working in retirement planning or education savings

🧠 Topics Covered on the Exam

1. Regulatory fundamentals and role of FINRA
2. Understanding investment companies and variable products
3. Opening, maintaining, and servicing client accounts
4. Suitability and ethical conduct
5. Handling client communications and recommendations

📌 Series 6 vs. Other Licenses

📥 Prepare for the Series 6 with the Right Tools

Start your licensing journey with the essentials. Download study guides, practice exams, and prep materials tailored to the Series 6.

👉 Access Series 6 study resources now at FINRA Exam Mastery