How do I register to take the Series 6?
To take the Series 6, a FINRA member firm must file a Form U4 application on your behalf through FINRA’s Central Registration Depository (CRD). You will have to get fingerprinted and answer a lengthy set of questions about your background.
What does the Series 6 qualify me to do?
A Series 6 license qualifies representatives to solicit, purchase and/or sell securities of companies registered under the Investment Company Act of 1940, including mutual funds, closed-end companies and variable contracts.
How long should I prepare for this exam?
We recommend studying 60-80 hours over a four week period.
What score do I need to pass the exam?
A score of 70% is required for passing.
Note: Your score will be rounded down to the next lowest whole number (e.g. 69.9% would be a final score of 69%--not a passing score for the Series 6 Exam).
How many questions are on the exam?
How long is the exam?
Are there other FINRA exams I need to complete as a prerequisite to attempting the Series 6?
You will also be required to take the Securities Industry Essentials (SIE) exam, unless you have passed certain other licensing exams prior to October 1st, 2018.
How much does the exam cost?
If I stop working for my firm, how long will my Series 6 license remain active?
You will have two years between jobs before the license expires.
When you cease working for a firm, your employer will file a Form U5 to terminate your registration. Your next employer will file a Form U4, which will re-register you. As long as you do not exceed two years between employers, your Series 6 license will remain active.
General exam questions? See our general FAQs.
For information about Solomon Exam Prep’s Series 6 exam study materials, please click here.
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