My objective is to acquire a key position within the financial services industry that will allow me to use the skills that I have acquired, while helping the organization I join reach its set objectives. Ideal Companies : Fund Companies , broker dealers Merrill Lynch , Citigroup Fidelity , retirement organizations , banks and transfer agencies. To continue my career with a company that will utilize my leadership, management and administrative skills as well as sharing my years of experience and abilities in the financial industry effecting mutual employee and employer growth and success.
A management or executive level position in accounting or finance where I can utilize my financial reporting, analysis, information systems, grants management, and other skills in a corporate or nonprofit setting.
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Popular Courses. What Is the Series 6? Key Takeaways The Series 6 is a securities license entitling the holder to register as a company's representative and sell certain types of mutual funds, variable annuities, and insurance.
Series 6 exams were traditionally taken in person at test centers, but FINRA began offering them online in The greatest disadvantage of a Series 6 license is that holders are not authorized to sell exchange traded funds ETFs. Article Sources. Investopedia requires writers to use primary sources to support their work.
These include white papers, government data, original reporting, and interviews with industry experts. We also reference original research from other reputable publishers where appropriate. You can learn more about the standards we follow in producing accurate, unbiased content in our editorial policy.
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Related Terms What Is Series 79? What Is the Series 31? The Series 31 is an exam and securities license entitling the holder to sell managed futures funds or supervise those activities. What Is the Series 23 Exam? Series 7 Definition The Series 7 is an exam and license that entitles the holder to sell all types of securities with the exception of commodities and futures.
Registered Representative RR A registered representative RR is a financial professional who works with clients who are trading investments such as stocks and bonds. Learn more. Series 63 The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. Examples of these types of securities are mutual funds, variable annuities, and indexed life insurance. Since the majority of life insurance products are grouped with securities, the Series 6 license is required for all insurance sales professionals throughout the United States who wish to sell those types of policies.
FINRA is the primary licensing body for securities sales professionals, but it is not the only administrative body in the industry. The Series 63 is an administrative license that deals primarily in the securities laws that affect securities sales in each state. In order to sell securities or variable insurance in any state in the US, you will need both the Series 6 and Series 63 licenses. Note: If you have aspirations of being a sales manager in a securities or insurance firm, then you will also need to earn your Series 26 license, along with your Series 6 license.
The Series 26 is required by anyone who supervises Series 6 professionals, such as managers and firm principals. A new exam called the Security Industry Essentials SIE exam will be implemented, which will eliminate the duplication of content in all of the Series exams. The SIE could be required before you can take the qualifying exams to become a licensed securities professional.
The SIE will be an exam open to anyone over the age of 18 who wants to enter the securities or insurance sales industries. It is anticipated that most agencies that require the sale of life insurance or other securities will expect a new hire to already have an SIE certificate.
To take your Series 6 exam, you may finish the SIE exam first and be sponsored by an accredited securities or insurance sales organization.
The SIE exam will allow the Series 6 exam to focus more on securities-specific questions instead of background material, but the SIE will have no effect on the content found in the Series 63 exam. Since these exams are both large and have some overlapping material, we have put together an article for each exam separately. Check them both out below:. The Series 6 license allows you to sell packaged securities as part of a comprehensive investment program.
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