What Comes After the Series 6 Exam?

📘 What Comes After the Series 6 Exam?

After successfully passing the Series 6 exam, you’ll have taken an important step in your career as a securities professional. The Series 6 exam qualifies you to sell certain types of securities, such as mutual funds, variable annuities, and insurance products. But what comes next? Here’s what you need to know about further qualifications and career development.

🚀 1. Pursue Additional Licensing (If Needed)

While the Series 6 exam qualifies you to sell specific investment products, many professionals continue to expand their licensing to broaden their roles in the securities industry.

Next Step Options:

• Series 7 – General Securities Representative
  • If you want to sell a broader range of securities (stocks, bonds, options), the Series 7 is the logical next step.
  • Series 7 enables you to engage in a wider range of investment activities and opens more career opportunities.
• Series 63 – Uniform Securities Agent State Law Exam
  • Often required alongside the Series 6 (and Series 7) to conduct securities business in specific states. The Series 63 covers state laws, ethical business practices, and regulations.
• Series 65 – Investment Adviser Representative
  • If you wish to provide investment advice and charge fees (as opposed to earning commissions), the Series 65 is required. This qualifies you to register as an Investment Adviser Representative (IAR) and provide financial advisory services.
• Series 66 – Combined State Law Exam
  • For individuals who already hold the Series 7, the Series 66 combines the content of the Series 63 and Series 65, allowing you to offer both investment advice and securities sales in the same role.

🧑‍🏫 2. Work with a Registered Firm

After passing the Series 6 exam, you must be sponsored by a FINRA-member firm to become a registered representative. Once sponsored, you can start working as an agent who sells mutual funds, variable annuities, and other similar products.

• If you’re with a firm, make sure you’re complying with all internal training and compliance requirements.
• Engage in Continuing Education to maintain your licensing, as FINRA requires continuing education courses for all registered representatives.

🏆 3. Develop a Specialization or Further Your Career

Once you’ve secured the necessary licenses, the next step is to focus on your career development. Many financial professionals choose to specialize or deepen their expertise in areas like:

• Retirement Planning: Work with clients to manage and grow retirement portfolios, including IRAs, 401(k)s, and annuities.
• Wealth Management: Provide investment strategies for high-net-worth individuals.
• Insurance: Expand into life insurance, long-term care insurance, and other products.
• Financial Planning: Work with clients to manage their comprehensive financial strategies, including tax planning and estate planning.

🧩 4. Optional Certifications for Advancement

As you progress in your career, certifications can provide additional credentials and expertise. Some popular options for financial professionals include:

• Certified Financial Planner (CFP®): A certification for those who want to work in comprehensive financial planning.
• Chartered Financial Consultant (ChFC®): Focuses on advanced financial planning, similar to the CFP®.
• Chartered Life Underwriter (CLU®): For those focusing on life insurance and estate planning.

🎯 In Summary

After passing the Series 6 exam, you can:

1. Pursue additional licensing exams like Series 7, Series 63, or Series 65, depending on your career goals.
2. Work with a FINRA-member firm as a registered representative.
3. Specialize in fields like wealth management, retirement planning, or financial planning.
4. Consider certifications for career advancement and professional development.

🚀 Ready for Your Next Step?

Master the Series 6 exam and any subsequent qualifications with expert-led study guides, practice tests, and lifetime access at
👉 https://finra-exam-mastery.com/
Your path to becoming a licensed professional starts here!