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Securities License Requirements

Any applicant applying for variable life-variable annuity line of authority is registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative after having passed at least one of the following examinations administered by FINRA: the Series 6, Series 7, Series 63, or Series 66.

We recommend attending an education program designed to prepare for your new career.

Steps to licensure

Step 1

You must register with a FINRA member firm.

Step 2

Your sponsoring firm must complete and file your U-4 form, fingerprint card for your required background check (http://www.fastfingerprints.com/), and appropriate testing and registration fees to the FINRA.

Step 3

Upon receipt of your application and fees, the FINRA will send your sponsoring firm an enrollment confirmation, which will be valid for 120 days.

Step 4

You must pass your FINRA licensing examination. For more information please visit www.finra.org.

Exam preparation

Although there are no educational requirements for the Series 6, Series 7, or Series 63 licenses, proper preparation using exam preparation courses and Hondros College’s CompuCram exam practice software will increase your chance of passing your exam the first time.

Exam information

In order to take an examination your sponsoring firm must have filed an application and an examination fee with the FINRA. (http://www.nasd.com/) The FINRA will send confirmation of enrollment which will allow you to schedule your exam at one of the testing centers below.

Additional information

Please note that if you do not schedule and pass your exam during your 120 day eligibility period you will need to re-file your application and retake your examination.

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