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Broker-Dealer Agent
License Description

Occupational Description


A Broker-Dealer Agent represents a Broker-Dealer in making transactions. An Agent must be employed/registered by a Broker-Dealer to transact business in Nebraska, unless exempt.

Licensure Requirements


Registration requirements may be obtained by contacting the Nebraska Department of Banking and Finance.

Fees


Initial Broker-Dealer Agent License- $40.00

Renewal


Licenses must be renewed annually by December 31. The renewal fee is $40.00.
Licensing Agency
Nebraska Dept. of Banking & Finance
1526 K St, Ste 300
Lincoln, NE 68509
(402) 224 3445
rodney.griess@nebraska.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
Continuing Education Continuing education required to maintain license
Criminal Record Felony convictions prohibited
Education Specific course required
Exam State exam required
License Type Stand-alone license
License Updated 08/09/2023
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