A requirement for Registered Representatives to offer securities products to the public is that they must be registered as Registered Representatives at the federal (FINRA) and state levels. The first step in the process of getting registered and obtaining a securities registration is for Registered Representatives to determine which investment products they would like to offer their customers. This is because selling certain investment products requires a specific securities registration requirement (Series 6 or 7). Therefore, it is important for Registered Representatives to decide whether they want to be able to offer only mutual funds and variable annuities, or perhaps have the flexibility of offering a full range of products, including individual stocks and bonds.
Determining which investment products the Registered Representative wants to offer will determine which registration exam (either Series 6 or 7) the Registered Representative is required to take and pass. A discussion of the required FINRA registration exams is on the following pages.
Consult your General Agent for additional guidance.
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