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License Finder

License Finder

Broker - Dealer Agent
License Description The Securities Division (the "Division") conducts examinations of state-registered broker-dealers and of their offices both within Connecticut and outside of the state. The purpose of the examination program is to help protect investors and ensure compliance with regulatory and legal duties relative to state securities law. We hope that this summary will provide broker-dealers with an insight into our examination process and spotlight some of the issues the Division will review during an inspection.
Licensing Agency
Department of Banking
Securities Division
260 Constitution Plaza
Hartford, CT 06103-1800
(860) 240 8230
kevin.maher@ct.gov
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Felony convictions prohibited
Education Specific course required
Exam State exam required
License Type Stand-alone license
License Updated 03/09/2021
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