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Broker-Dealer
License Description JOB DESCRIPTION: A broker-dealer is a person engaged in the business of buying and selling securities. In addition, a broker-dealer's responsibilities may include offering financial counseling and educating clients in trading practices. Broker-dealers may serve a variety of clients such as private investors or institutional investors. A broker-dealer may choose to specialize in one or more specific financial products such as stocks, bonds, or options. NOTE: Most often, a broker-dealer is an artificial entity such as a corporation, limited partnership or limited liability company rather than an individual.
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 Tied to business
License Updated 06/20/2018
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