Just wanted to share that I passed a few tests that my employer required (one was last week, one was last night).  I passed the Series 6 which Wikipedia defines as,

The Investment Company Products/Variable Life Contracts Representative Exam, commonly referred to as the Series 6, is a multiple choice exam that registers an individual to transact a limited set of securities:

    • Mutual Funds
    • Closed-end funds on the initial offering only
    • Unit Investment Trust
    • Variable Annuities
    • Variable Life Insurance
    • Municipal Fund Securities

I also passed the Series 63 which Wikipedia defines as covering,

…the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations.

I took them mostly to appease the powers that be, but it is nice to have them in case I ever want to get in to a role where I have clients of my own, rather than just directing the planners here and helping them with their clients.

They weren’t too difficult, and about 90% shorter than the New York State Bar Exam.  Interesting random thought about licensing exams in general – they never tell you what you did wrong…don’t you think if I get even one ethics question incorrect they should make me review that question and the right answer?

Regardless of my registration, anything on this site should be not be construed as legal or financial advice and please review the full disclaimer.

Previous article
Next article



Please enter your comment!
Please enter your name here

Related Articles

Recent Comments