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Broker-Dealer Agent
License Description JOB DESCRIPTION: A broker-dealer agent is a securities sales representative who works for or represents a brokerdealer and who buys and sells securities for investors. In addition, an agent's responsibilities may include offering financial counseling and educating clients in trading practices. Agents and their broker-dealers may serve a variety of clients such as private investors or institutional investors. An agent or broker-dealer may choose to specialize in one or more specific financial products such as stocks, bonds, or options.
Licensing Agency
Oklahoma Department of Securities
204 North Robinson Avenue, Suite 400
Oklahoma City, OK 73102-7001
(405) 280 7700
zfmorton@securities.ok.gov
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 06/25/2020
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