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SECURITIES AGENTS
License Description A securities agent is a person who represents a broker-dealer or issuer in offering or selling securities to the public or soliciting someone to become a customer of a broker-dealer. All securities agents, regardless of their location, must be registered to conduct business with Wisconsin investors unless they qualify for an exemption from registration. There is no de minimis exemption for securities agents. Also, there is no such thing as an "unsolicited rule" that allows an agent to accept unsolicited orders from Wisconsin customers without being registered.
Licensing Agency
WI Dept of Financial Institutions
Division of Securities
201 W Washington Ave, Suite 300, P.O. Box 1768
Madison, WI 53707-1768
(608) 266 2139
Active Status Active
Criminal Record No criminal record prohibitions
Exam Third-party exam required
License Type Stand-alone license
License Updated 12/01/2020
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