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License Finder
Broker Dealer
License Description
A broker dealer buys and sells securities for their and their customer's benefit.
Licensing Agency
Maine Department of Professional & Financial Regulation
Office of Professional and Occupational Regulation
Gardiner Annex/ 76 Northern Ave, 35 State House Station
Augusta, ME 04333-0035
(207) 624 8603
https://www.maine.gov/pfr/professionallicensing/index.shtml
Active Status
Active
Continuing Education
No continuing education requirement to maintain license
Criminal Record
No criminal record prohibitions
Education
No educational requirements
Exam
No exam required
License Type
Tied to business
License Updated
06/17/2022
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