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License Finder

Licensed Personal Financial Advisor
License Description To become licensed in the State of Alabama, the applicant must have a $10,000 net worth or a surety bond of $50,000, an audited or attested balance sheet prepared with GAAP standards within the last 90 days; Applicants must successfully pass the required qualification examination.
Licensing Agency
Alabama Securities Commission
P.O. Box 304700
Montgomery, AL 36104
(334) 242 2984
asc@asc.alabama.gov
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Felony convictions prohibited
Education Degree required
Exam State exam required
License Type Register with licensing agency
License Updated 10/31/2020
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