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Securities Agent
License Description Securities agents buy and sell stocks and bonds for individuals and organizations. As representatives of a brokerage firm, they perform these transactions by applying knowledge of securities, market conditions, government regulations, and financial status of customers; provide customers with information and advice regarding investments based on interpretation of data from securities reports, financial periodicals, and the stock-quotation-viewer screen; record and transmit buy and sell orders to trading division in accordance with customer's wishes; calculate and record cost of transaction for billing purposes, using quotations received during transmittal of order; develop portfolio of selected investments for customer; and, compile a list of prospective customers as prospects to obtain additional information. They may also be called registered representatives, account executives, or brokers.
Licensing Agency
Iowa Department of Public Health
Division of Insurance
Board of Physical & Occupational Therapy
601 Locust St., 4th Floor
Des Moines, IA 50309
(515) 281 5523
producer.licensing@iid.iowa.gov
Active Status Active
Certification Certification required
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Education Specific course required
Exam Both state and third-party exams required
License Type Tied to business
License Updated 06/30/2021
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