Agent for Securities Issuer
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
If an issuer of securities does not wish to use a broker-dealer to distribute its securities to the public, it may decide to market them directly to the public. Issuers may choose to have an officer, director or other employee make the solicitations and effect the sales or they may hire a third party specifically for the purpose of soliciting buyers. These individuals may be considered Agents-of-the-Issuer as that term is defined in the Wisconsin Uniform Securities Law. Depending on a number of factors, these agents may need to be registered with the Division before commencing any solicitation activities. One important factor is the security registration or exemption used to qualify the offering for sale in the state.
Requirements reported by the state
- Licence type
- Stand-alone license
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- WI Dept of Financial Institutions
- Division
- Division of Securities
- Address
- 201 W Washington Ave, Suite 300 P.O. Box 1768 Madison, WI 53707
- Phone
- (608) 266-2139
- Agency website
- http://www.wdfi.org/fi/securities/registration/
- Licence page
- http://www.wdfi.org/fi/securities/registration/
- Last updated
- December 2, 2020
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Wisconsin's report to the Analyst Resource Center, published by CareerOneStop (October 2024 export). Everything shown comes only from that report.
Before you apply, confirm every detail with Division of Securities — see the issuing body section above.
How we process this data. Not legal advice.