About the Exam

EXAMINATIONS

Series 6
Investment Company Products/Variable Contracts Limited Representative:
Required of individuals soliciting the purchase or sale of redeemable securities (mutual funds), variable contracts (variable annuities) and insurance premium funding programs (variable life) issued by insurance companies.

Series 63
Uniform Securities Agent State Law Exam:
Required of individuals soliciting the purchase or sale of securities within a state. The exam may be required in addition to other exams.

Series 7
General Securities Representative:
Required of individuals soliciting the purchase or sale of corporate, municipal and U.S. government securities, options, direct participation programs, investment company products and variable contracts.

Where do I take the securities examination?

Prometric and Pearson VUE offer the securities license examinations.
Prometric: 800-578-6273
Pearson VUE: 866-396-6273

How do I schedule a securities exam?

Before you can schedule your securities exam, your firm must file the proper application form with the Financial Industry Regulatory Authority (FINRA). You must complete Form U-4 and a fingerprint card, and return them to your broker-dealer. Your firm must then file Form U-4, your fingerprint card and the proper application fee with FINRA. FINRA will process your application and send your firm an enrollment confirmation that is effective for a stated number of days. This is commonly referred to as your "window", which is the period of time during which you can take your test. The window is normally 120 days in length. Once you are notified that your window is open, you can then schedule your exam by calling Prometric or Pearson VUE.

What score is needed to pass the exam?

A score of 70% is required to pass the Series 6, Series 63 and Series 7 exams.

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