Series 6

Series 6
Investment Company and Variable Contracts Products Representative Exam

The Series 6 Exam (Series 6 Top-Off Exam) is the FINRA (Financial Industry Regulatory Authority) exam required by broker-dealers, banks, and insurance companies for their limited representatives.  

  Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 63 state licensing exam.

Series 6 candidates are expected to know information about: 

  • seeking business for the broker-dealer from customers and potential customers (12 questions on the exam)
  • opening accounts after obtaining and evaluating customers’ investment objectives and financial profile (8 questions on the exam)
  • providing customers with information about investments, making suitable recommendations, transferring assets and maintaining appropriate records (25 questions on the exam)
  • obtaining and verifying customers’ purchase and sales instructions; processing, completing and confirming transactions (5 questions on the exam)

The Series 6 license exam has a total of 55 questions. However, only 50 of the questions count toward the Series 6 grade. So, this means is that the other 5 questions are experimental and could appear in any position within the Series 6 exam. To pass the exam, each candidate must correctly answer at least 35 (70%) of the 50 questions. In addition, each person has a total of 1 hours and 30 minutes to complete the real exam.


Series 6 Course Textbook (2023)

Series 6 Course Textbook with chapter exams, final exams, and a glossary of Series 6 terms.


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About the book:

The Series 6 Top-Off Exam License Book was developed by Empire Stockbroker Training Institute. Because we understand your frustration, our Series 6 Top-Off Manual is written in plain English. Our book is written with shorter paragraphs and is focused on the FINRA license content with no unnecessary fluff. Key features:

  • Updated for 2023
  • Comprehensive – The Series 6 Course Textbook is complete and easy to understand
  • Diagrams – These not only help make studying more enjoyable they also help you visualize difficult concepts
  • Notes and Tips – Key points mixed throughout the chapters to emphasize important ideas
  • Chapter Exams – Multiple-choice questions at the end of each chapter with detailed explanations
  • Final Exams – Five 50-question practice exams with detailed explanations
  • Glossary – Each book includes a glossary of Series 6 Exam terms

Series 6 Sample Pages:

All books were created by Steven M. Rice and Rueben Martinez

Series 6 Online Testing

Series 6 Private Tutoring

FINRA Series 6 Course Outline