Series 6

Definition

Test that registers an individual to transact a limited set of securities. Specifically, a Series 6 registered individual cannot transact in corporate securities, direct participation programs, municipal securities, or option products. These individuals have more restrictions than Series 7 registered representatives.

Use Series 6 in a sentence

He was a series 6 registered person and could not deal in corporate securities, which was fine by him and he did not disagree.

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Before she could work at the investment company, Susan needed to receive her Series 6 license so she would be eligible to sell securities.

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Penalties for failing to take the series 6 exam can be hefty for those who work for broker dealers or other securities firms but lack the proper certifications.

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