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Securities Agent
License Description GENERAL JOB DESCRIPTION Securities ""agent"" means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchase or sales of securities for a fee, compensation or commission. EDUCATIONAL REQUIREMENTS You must be a high school graduate or possess a G.E.D. equivalency. EXAMINATION REQUIREMENTS For application procedures, schedule of examinations, type examination, passing score, examination fee, and retake procedures, contact the regulatory agency. GENERAL INFORMATION for LICENSURE or CERTIFICATION You must be at least eighteen (18) years of age. There are no residency, health or work experience requirements. You must be trustworthy, honest and of a good reputation. All licenses must be renewed by December 31, annually. The initial fee is $50.00 and the annual renewal fee is $50.00.
Licensing Agency
Department of Financial Institutions
500 Mero Street, 2 SW 19
Frankfort, KY 40601-0000
(502) 573 3390
kfi@ky.gov
Active Status Active
Criminal Record No criminal record prohibitions
License Type Stand-alone license
License Updated 07/08/2022
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