Broker - Dealer Agent
- Exam
- State exam
- Education
- Specific course
- Experience
- Experience
- Background check
- Felony convictions prohibited
The Securities Division (the "Division") conducts examinations of state-registered broker-dealers and of their offices both within Connecticut and outside of the state. The purpose of the examination program is to help protect investors and ensure compliance with regulatory and legal duties relative to state securities law. We hope that this summary will provide broker-dealers with an insight into our examination process and spotlight some of the issues the Division will review during an inspection.
Requirements reported by the state
- Licence type
- Stand-alone license
- Exam
- State exam required
- Education
- Specific course required
- Continuing education
- Continuing education required
- Certification
- No mention of certification
- Experience
- Experience
- Background check
- Felony convictions prohibited
Issuing body
- Department
- Department of Banking
- Division
- Securities Division
- Address
- 260 Constitution Plaza Hartford, CT 06103
- Phone
- (860) 240-8230
- Agency website
- www.ct.gov/dob
- Last updated
- March 9, 2021
Occupations (O*NET)
- Insurance Producer 41-3021.00
Source and verification
This record is Connecticut'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 Securities Division — see the issuing body section above.
How we process this data. Not legal advice.