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Securities Agent
License Description Securities Agents represent organizations in transactions concerning stocks, bonds. or other securities. They open accounts for customers and contact the securities exchange with the buy or sell order. They may give financial advice on securities purchases or sales, basing the advice on current market trends. Securities agents must continually monitor the economic and political situation, and also maintain accurate records of all transactions. They may specialize by type or customer or securities handled. Requirements: 1) Must be sponsored by a broker-dealer. 2) Must successfully pass FINRA examinations. 3) Must be registered in Arkansas and in resident state. Financial Industry Regulatory Authority (FINRA) examination includes 1) State law knowledge examination (Series 63 or Series 66), 2) Sales examination (general or area specialty). Arkansas initial registration fee: $75.00, Arkansas renewal fee: $75.00 per year
Licensing Agency
Arkansas Department of Commerce
1 Commerce Way, Suite 402
Little Rock, AR 72202-2086
(501) 324 9260
asdinfo@arkansas.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
Criminal Record No criminal record prohibitions
Exam No exam required
License Type Register with licensing agency
License Updated 06/28/2022
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