Occupational license information for Securities Dealer/Broker Registration in US | CareerOneStop

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Securities Dealer/Broker Registration
License Description	Any person (including individuals or entities) engaged in the business of effecting transactions in securities for the account of others or for their own account.
Licensing Agency	NC Department of the Secretary of State Securities Division 2 South Salisbury St Raleigh, NC 27601-2903 (919) 814 5500 secdiv@sosnc.gov https://www.sosnc.gov/divisions/securities/for_securities_professionals
Active Status	Active
Continuing Education	Continuing education required to maintain license
Criminal Record	Specific type of conviction prohibited
Education	No educational requirements
Exam	Third-party exam required
License Type	Register with licensing agency
License Updated	04/19/2023
Physical Requirements	No physical requirements

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

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