Broker Preparatory Course Series 6 USA American Broker Examination (FINRA)


The Series 6 exam (The Investment Company and Variable Contracts Products Representative Qualification Examination)

Thorsten Schuell will provide the means for you to undertake the Series 6 exam. The exam consists of 50 marked questions, candidates will have a total time limit of one hour and 3o minutes to complete the exam which is a National Futures Association exam. In order to pass, candidates taking the exam will have to achieve a score of 70% or above. It is designed to measure the competency of an entry-level principal to work as an investment company and variable contracts products representative. The exam assesses the degree to which each candidate holds the vital knowledge needed to perform the critical functions of an investment company and variable contract products representative, including sales of mutual funds and variable annuities.

To obtain the Investment Company and Variable Contracts Products registration, candidates must also pass the Securities Industry Essentials (SIE) exam and the Series 6 exam.


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The Series 6 content is comprised of the six major job functions of an options principal:

  • Seeks business for the broker-dealer from customers and potential customers
  • Opens accounts after obtaining and evaluating customer’s financial profile and investment objectives.
  • Provides customers with information about investments, makes recommendations, transfers assets and maintains appropriate records.
  • Obtains and verifies customers’ purchase and sales instructions; processes, completes and confirms transactions.

A candidate who passes the Series 6 exam is qualified for the solicitation, purchase and/or sale of the following securities products:

  • Mutual funds (closed-end funds on the initial offering only)
  • Variable annuities
  • Variable life insurance
  • Unit investment trusts (UITs)
  • Municipal fund securities [e.g., 529 savings plans, local government investment pools (LGIPs)]

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