Prospecting and Customer Contact
Prospecting questions test customer outreach, cold calling, referrals, do-not-call rules, privacy, solicitation boundaries, and needs-based conversation.
How to study for Series 6
Build every answer around product scope, customer profile, suitability, disclosure, supervision, recordkeeping, and verified transaction instructions.
Core concepts
Concept 1
Prospecting and Customer Contact questions reward product-limited Series 6 judgment rather than broad Series 7 assumptions.
Exam cue: Identify the customer, product, account, recommendation, transaction, and required approval.
Concept 2
The best answer stays inside permitted products, firm procedures, customer profile, disclosure, and suitability requirements.
Exam cue: Separate permitted Series 6 activity from products that require another registration.
Concept 3
Eliminate answers that skip supervision, ignore customer facts, or treat variable contracts and investment companies like unrestricted securities.
Exam cue: Check suitability, disclosure, recordkeeping, and order verification before choosing.
Risk pitfalls and guardrails
Assuming the representative can recommend individual stocks, bonds, options, or DPPs.
Guardrail: Avoid answers that recommend out-of-scope products, skip principal review, ignore surrender costs, or process incomplete instructions.
Treating prospecting, advertising, and correspondence as unsupervised sales activity.
Guardrail: Avoid answers that recommend out-of-scope products, skip principal review, ignore surrender costs, or process incomplete instructions.
Making a recommendation before evaluating customer profile and product risks.
Guardrail: Avoid answers that recommend out-of-scope products, skip principal review, ignore surrender costs, or process incomplete instructions.
Memory anchors
Cold Calling
Cold calls must follow time, identity, disclosure, and do-not-call requirements.
Do Not Call
Do-not-call requests must be honored under firm and regulatory procedures.
Referral
Referral activity must not bypass suitability, registration, or compensation rules.
Privacy
Customer information must be protected and used according to privacy rules and firm policy.
Solicitation
Solicitation must stay within registration, product, and firm approval limits.
Needs Conversation
Early customer conversations should identify needs without making unsupported recommendations.
Identity Disclosure
Representatives should clearly identify themselves and their firm.
No Pressure
High-pressure tactics conflict with fair dealing and suitability expectations.
Record Of Contact
Business contacts may need records under firm procedures.
Limited Registration
Series 6 prospecting must stay within investment company and variable contract products.
Checkpoint rule
Do the check-up only after you can summarize each concept in one sentence and identify one dangerous pitfall from memory.
Knowledge Check (after reading)
Short check-up to confirm understanding of this module.
Check-up Questions
What must a representative determine before recommending any security to a retail customer?
Which prospecting practice would violate the telemarketing rules?
Answer all questions to submit.
Next step personalized recommendations
Continue learning
Move forward only after this module is stable.
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