Series 6
A securities license entitling the holder to register as a limited representative and sell mutual funds, variable annuities and insurance premiums.
The Series 6 is for mutual funds only (usually taken by insurance salespeople) and the series 3 is for commodities.
There are two basic types of brokers: full service or discount.
Series 6 A test that registers an individual to transact a limited set of securities. Series 63 The Uniform Securities Agent State Law License required by some states to be a stockbroker.
Corporate Securities Limited Representative - A Corporate Securities Limited Representative is an individual who has passed Series 62 exam, which is administered through the National Association of Securities Dealers.
The Penn State graduate - who will walk in May after graduating last December - was supposed to be taking the Series 6 exam after landing an internship at Global Brokerage Services, Inc.
Proven Techniques For Series 6 Success
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Find out what you can do during the test to make sure you get a passing score.
In order to be an account executive, a person must pass the Series 7 and Series 63 exams, which are administered by the National Association of Securities Administrators (NASD). Also called stock broker or a registered representative.
He has passed the NASD Series 65 Investment Adviser exam. He publishes his Investment Newsletter and Action Suggestions three times per week at the CandleWave website. The Action Suggestions provide specific Safety Stops on the major Indexes; ...
Most Series 7 license holders also hold the Series 63 license, which satisfies similar requirements for state-level securities regulators.
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Does not include traders who primarily execute orders for a registered investment company. Equity traders must pass the test for limited representative-equity trader (Series 55) and, in addition, either Series 7 or Series 62.
 See also: Series, Broker, Stock, Market, Series 7
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