FINRA Series 6 Representative Level Qualification Exam Prep Training Course & Study Materials
Prepare for your FINRA Series 6 Representative Level Qualification Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Series 6 Representative Level Qualification Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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ONLINE COURSE PACKAGE
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TEXTBOOK PACKAGE
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Competency Exams
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S6: Investment Companies & Annuities
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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50
Multiple-Choice Questions
1h 30m
Time to Complete
70%
Passing Score Required
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$75
Exam Cost
What is the Series 6 Rep Level Exam?
The Series 6 exam is designed to assess the competency of entry-level Investment Company and Variable Contracts Products Representatives and is administered by the Financial Industry Regulatory Authority (FINRA). The Series 6 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of an Investment Company and Variable Contracts Products Representative. To obtain registration as an Investment Company and Variable Contracts Products Representative, candidates must pass both the Series 6 exam and a general knowledge corequisite, the Securities Industry Essentials (SIE) exam. For more information about the Investment Company and Variable Contracts Products Representative registration category, see FINRA Rule 1220(b)(7).
The Series 6 Rep Level exam is 50 questions and broken down into four parts (by job function). These topics include:- Seeks Business for the Broker-dealer from Customers and Potential Customers
- Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
- Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
- Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
Function 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers
- Prospecting and Relationship Building
- Identifies potential clients through referrals, networking, and marketing
- Initiates contact via approved communication channels (e.g., phone, email, in-person)
- Communications and Promotions
- Uses approved advertising and sales literature
- Complies with rules for social media and digital marketing
- Understands limitations on performance claims and testimonials
- Regulatory Compliance
- Follows cold calling rules and Do Not Call lists
- Understands FINRA and SEC guidelines for public communications
- Maintains records of outreach and promotional materials
Function 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
- Customer Information Gathering
- Collects financial status, investment experience, tax status, and risk tolerance
- Documents investment objectives (e.g., growth, income, preservation of capital)
- Suitability and Recommendations
- Evaluates product suitability based on client profile
- Understands regulatory requirements for recommendations
- Account Setup and Documentation
- Completes new account forms and disclosures
- Explains account types: individual, joint, custodial, retirement
- Ensures compliance with KYC and AML procedures
Function 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records
- Product Knowledge and Communication
- Explains features, benefits, and risks of mutual funds, variable annuities, UITs, and municipal fund securities
- Discusses fees, expenses, and share classes
- Making Recommendations
- Matches products to client goals and risk tolerance
- Discloses conflicts of interest and compensation structures
- Asset Transfers and Recordkeeping
- Facilitates exchanges and rollovers
- Maintains accurate records of recommendations and client communications
- Complies with supervisory review and documentation standards
Function 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
- Order Handling
- Receives and verifies customer instructions
- Ensures proper documentation and authorization
- Transaction Processing
- Executes trades in accordance with firm procedures
- Provides confirmations and required disclosures
- Compliance and Supervision
- Adheres to suitability and supervisory requirements
- Understands prohibited practices (e.g., unauthorized trading, manipulation)
- Maintains transaction records and audit trails
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