What does the Series 6 let you sell?
Verified from FINRA, last checked 2026-05-30. Quick answer below, then the full breakdown.
The Series 6 lets you sell mutual funds, variable annuities, variable life insurance, unit investment trusts (UITs), and municipal fund securities like 529 plans. It does not cover individual stocks, bonds, options, or direct participation programs (DPPs), which require the broader Series 7.
Series 6 product scope (Investment Company Products / Variable Contracts Representative):
Allowed under a Series 6:
- Mutual funds (open-end and closed-end at initial offering)
- Variable annuities
- Variable life insurance
- Unit investment trusts (UITs)
- Municipal fund securities (529 plans, ABLE accounts, LGIPs)
NOT allowed under a Series 6 (requires Series 7):
- Individual stocks
- Individual corporate or government bonds
- Options
- Direct participation programs (DPPs)
- ETFs (technically packaged products, but require Series 7 for solicited sales in most cases)
- Closed-end funds in the secondary market
Practical channels:
- Bank wealth desks selling mutual funds and 529 plans
- Career insurance agents selling variable annuities and variable life alongside their state life insurance license
- Limited broker-dealers that only sell packaged products
If your role requires individual stocks, options, or general securities, you need the Series 7 instead. If you only need to sell packaged products, the Series 6 is a faster, cheaper path.
See also: What is the Series 6 license?
Verified from FINRA. Last checked 2026-05-30.
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