Venture Capital

Wednesday, February 1, 2012

Venture Capital

Getting Your Series 6 License To Trade Securities

Posted: 01 Feb 2012 12:52 PM PST

The Series 6 license must be held by mutual funds representatives whether working directly for the mutual fund or one of their representatives. Any person who sells variable annuities or mutual funds must hold this license and be registered with FINR, formally known as the NASD. This license is also required by certain back office employees of a mutual fund company. Persons who quote prices or speak with the public are required to have the license.


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