Occupational license information for FINANCIAL BROKERS, AGENTS, AND DEALERS in US | CareerOneStop

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FINANCIAL BROKERS, AGENTS, AND DEALERS
License Description	A broker-dealer is any person engaged in the business of effecting transactions in securities for the account of others or for his/her own account. An agent means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases and sales of securities
Licensing Agency	Securities Division, Office of the Secretary of the Commonwealth One Ashburton Place, Room 1701 Boston, MA 02108 (617) 727 3548 http://www.sec.state.ma.us/sct/sctidx.htm
Active Status	Active
Continuing Education	Continuing education required to maintain license
Criminal Record	Felony convictions prohibited
Education	No educational requirements
Exam	State exam required
License Type	Stand-alone license
License Updated	05/09/2018

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

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