Securities Brokers/Dealers Last updated 08/23/2022

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Fees

License Fee Description Exemptions
$250.00
None
$250.00
None

Description

Securities Brokers/Dealers buy and sell stocks and bonds for individuals or organizations applying knowledge of securities, market conditions, government regulations, and financial circumstances of customers.

Duration

Calendar year or portion thereof

Renewal Information

None

Duplicate License Requirements

None

Processing Time

Processing Time Description
2-3 Weeks

Prerequisites and Requirements

Prerequisites

Required Documentation

None

Examination Information

None required for firm; see Securities Salesperson requirements

Continuing Education Requirements

None

Bonding Requirements

None

Insurance Requirements

None

Additional Information

Other Information

Statutes, Administrative Rules, Ordinances

Other Detail Information

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