Occupational license information for Securities Broker-Dealer in US | CareerOneStop

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Securities Broker-Dealer
License Description	Securities brokers buy and sell securities or commodities in investment and trading firms, or provide financial services to businesses and individuals. May advise customers about stocks, bonds, mutual funds, commodities, and market conditions.
Licensing Agency	Kansas Insurance Department Office of the Kansas Securities Commissioner 1300 SW Arrowhead Rd Topeka, KS 66604-0000 (785) 296 3071 https://insurance.kansas.gov/securities/industry-professionals/
Active Status	Active
Continuing Education	Continuing education required to maintain license
Criminal Record	Background check required
Exam	Third-party exam required
License Type	Stand-alone license
License Updated	07/08/2022

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Occupational license information is from the Analyst Resource Center (ARC).

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