A:

Unfortunately, the answer to this question is "No." The Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers or NASD) requires an individual to be sponsored by a member firm, a self-regulatory organization (SRO), or an exchange in order to write the Series 6 exam.

The Series 6 exam allows a finance professional to demonstrate his or her competence within the area of mutual funds and variable annuities. It is the first step of the registration process set forth by FINRA. In order to schedule an exam, the member firm that sponsors you must file the Uniform Application for Securities Industry Registration or Transfer (Form U-4) with FINRA. Click here for the most recent PDF version of Form U-4, and click here for instructions on how to complete the form.

For Form U-4 to be completed to the liking of FINRA, the sponsoring firm must act as an Appropriate Signatory. Therefore, if an individual attempted to file this form without the signature of a sponsoring firm, the application would be rejected and monies paid toward registration might not be refunded.

For more information on the Series 6 exam, see the articles Proven Techniques For Series 6 Success and Tips For Passing The Series 6 Exam.

RELATED FAQS
  1. Is it possible to take the Series 7 exam without being sponsored?

    Unfortunately, the answer is "No." The Financial Industry Regulatory Authority or FINRA, (formerly the National Association ... Read Answer >>
  2. Do I need to be sponsored or employed by a member firm in order to write the Series ...

    You do not need to be sponsored by a member firm in order to write the Series 66 exam. However, it is important to remember ... Read Answer >>
  3. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ... Read Answer >>
  4. What major is required to take the Series 7 examination?

    There are no prerequisite educational requirements for the Series 7 exam. However, keep in mind that you must be sponsored ... Read Answer >>
  5. Do I have to successfully complete the Series 7 exam before I can register for the ...

    There are no prerequisites to register for the Series 63 exam. However, once you have registered for the exam, you must schedule ... Read Answer >>
  6. For what reasons are electronics stocks commonly purchased by a value investor?

    Learn about the breakdown of subjects on the Series 6 while reviewing important aspects of the exam, including its content ... Read Answer >>
Related Articles
  1. Managing Wealth

    Introduction To The Series 65 Exam

    The Series 65 is required in many states in order to be a fee-based advisor. Find out what it is and whether you need it.
  2. Professionals

    Sell-Side Analysts Need Series 86/87 Exams

    Though these tests are not particularly difficult or comprehensive, passing them is mandatory to work as a sell-side analyst.
  3. Markets

    FINRA: How It Protects Investors

    Find out the history of FINRA, and how it's organized to monitor the markets and protect investors.
  4. Investing

    What is the Series 66?

    The Series 66 exam is one of two tests required to register as both a securities agent and an investment advisor.
  5. Investing

    Series 63, Series 65 Or Series 66?

    When joining the world of investment professionals, you must take the right exams.
  6. Professionals

    Who Needs to Take the Series 65?

    Most states require individuals to pass the Series 65 exam in order to act as investment advisors.
  7. Professionals

    Series 6 Exam Prep: What Is A Security?

    Before you take the series 6, you need to understand what a security is as defined by the exam.
  8. Financial Advisor

    CFA Vs. Series 7: Which is Easier

    Find out which is exam is easier: The Chartered Financial Analyst (CFA) exam, or the Series 7 securities exam for registered representatives.
  9. Financial Advisor

    The Basics of The Series 79 Exam

    Passing the Series 79 exam is usually necessary for anyone who wants to work in investment banking.
  10. Professionals

    Understanding Series 63

    Series 63 is a securities license that entitles the holder to sell securities in a particular state.
RELATED TERMS
  1. Series 7

    A general securities registered representative license administered ...
  2. Series 66

    An exam administered by the Financial Industry Regulatory Authority ...
  3. Series 86/87

    An exam administered by the Financial Industry Regulatory Authority ...
  4. Series 11 License - Assistant Representative - Order Processing

    A securities license, administered by the Financial Industry ...
  5. Series 79

    A examination to ensure a candidate is qualified to become a ...
  6. Series 4

    A securities license entitling the holder to supervise options ...
Hot Definitions
  1. Sell-Off

    The rapid selling of securities, such as stocks, bonds and commodities. The increase in supply leads to a decline in the ...
  2. Brazil, Russia, India And China - BRIC

    An acronym for the economies of Brazil, Russia, India and China combined. It has been speculated that by 2050 these four ...
  3. Brexit

    The Brexit, an abbreviation of "British exit" that mirrors the term Grexit, refers to the possibility of Britain's withdrawal ...
  4. Underweight

    1. A situation where a portfolio does not hold a sufficient amount of a particular security when compared to the security's ...
  5. Russell 3000 Index

    A market capitalization weighted equity index maintained by the Russell Investment Group that seeks to be a benchmark of ...
  6. Enterprise Value (EV)

    A measure of a company's value, often used as an alternative to straightforward market capitalization. Enterprise value is ...
Trading Center