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SECURITIES REPRESENTATIVE
License Description SECURITIES, COMMODITIES, AND FINANCIAL SERVICES SALES AGENTS SOC Code 41-3031 Entry Salary $19.27/hour Average Salary $30.49/hour Job Description A Registered Securities Representative is involved in the investment banking or securities business. There are a variety of categories of Registered Representatives to deal with different types of stocks, bonds, mutual funds, options, etc. Requirements 1. Must be associated with a business firm that is a member of the Financial Industry Regulatory Authority (FINRA). 2. Must pass the appropriate FINRA examination with a score of at least 70% and either the S63 or S66 state law exam with a score of at least 70%. 3. Must fulfill prerequisite requirements for certain categories Restrictions A violation of any Federal or state law or FINRA or exchange rule that would prohibit the applicant from working in the securities business. No person convicted of a felony violation of law may be registered as a securities agent. School Located in Wyoming No formal education is required in order to apply for registration. Study materials and training sessions to prepare for the examinations are available from FINRA and from private vendors who sell study guides available at many book stores. For education resources go to the FINRA website at http://www.finra.org/Industry/Education/. License Anyone wishing to work in the securities business in Wyoming must be affiliated with a member of FINRA. Examination Examinations are given at authorized testing centers throughout the United States. Wyoming residents can take examinations by contacting the Sylvan Technology Center at (888) 338-2283 to schedule an appointment at the closest location. Fees New application . . . . . . . . $45.00 Renewal . . . . . . . . . . . . . .$45.00 Examination Fees vary according to the series. For a complete list of examination fees, contact FINRA. Licensing Agency Compliance Division Wyoming Secretary of State Attn: Kelly Janes 2020 Carey Avenue Ste 700 Cheyenne, WY 82002-0020 Phone: (307) 777-7370 Fax: (307) 777-7640 https://soswy.state.wy.us/Investing/BrokerDealerAgent.aspx Financial Industry Regulatory Authority (FINRA) 1735 K St. Washington, D.C. 20006 Phone: (301) 590-6500 http://www.finra.org/ Additional Sources of Information FINRA District Office - Denver 4600 S. Syracuse St., Ste. 1400 Denver, CO 80237 Phone: (303) 446-3100 Fax: (303) 620-9450 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Phone: (202) 942-8088 http://www.sec.gov/ North American Securities Administrators Assoc. 750 First Street, NE, Ste 1140 Washington, DC 20002 (202) 737-0900 http://www.nasaa.org/ Occupational Outlook Handbook: Securities
Licensing Agency
WYOMING SECRETARY OF STATE
WYOMING SECRETARY OF STATE
2020 CAREY AVENUE, STE 700
CHEYENNE, WY 82002-0020
(307) 777 7370
kelly.janes@wyo.gov
Active Status Active
Continuing Education No continuing education requirement to maintain license
Criminal Record Any conviction is prohibited
Education Specific course required
Exam No exam required
License Type Register with licensing agency
Physical Requirements Vision test required
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