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Does the sponsor for my series 6 exam have to be the company that I work for?

I have been in the coffee business for 29+ years, and am looking for a change.
I recently met with our investment adviser, who suggested that I look into getting my series 6 certificate, as I have a good knowledge of investing, and sales. After I complete my exam, how portable is it to go out and find a job with a bank, insurance company, or investment company?

What do you think about getting my series 6 and then shopping myself for a job?
I realize that this is not exactly the way it is usually done.

Any advise, suggestions, or guidance would be appreciated!

Career / Compensation, Choosing an Advisor
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July 2016


Indeed you will need a sponsor. I would suggest you choose one in which you would be happy working for/with for a while to get some good basic training. Given the recent DOL law changes, and how the industry as a whole is changing, you may want to consider getting your Series 7 instead. It is a more comprehensive study and exam, but will allow you to be able to do a lot more in the industry. It lets you do everything a Series 6 can do, and a lot more. You may also want to consider getting your Life & Health license in conjunction with your securities license.

I hope this helps!

Best Regards,

Derek Notman

May 2016