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This exam is the more basic of the two main FINRA license exams. The Investment Company and Variable Contracts Products Representative Qualification Examination, more commonly referred to as the Series 6 license, allows license holders to include mutual funds within the investment and insurance products that they offer. No matter what securities license you pursue, preparing with a study course will ensure that you pass the test on your first attempt.įor securities license overviews and test preparations, StateRequirement recommends: The securities license that you get depends on the role that you have within your sponsoring company, firm, or organization. You will need to get multiple securities licenses to be able to market and sell securities. Both types are required for financial service professionals.

There are two main types of securities licenses that you need to get: those administered by the Financial Industry Regulatory Authority (FINRA) and those from the North American Securities Administrators Association (NASAA). The process to get your securities license starts with determining the right securities license for your position and professional goals. A securities license is required to market and sell securities, a common responsibility for financial advisors and insurance agents alike. Getting a securities license is a major milestone for those working in the financial services industry.