Broker-Dealer Agent
VermontActive
- Exam
- No exam
- Education
- None
- Experience
- None
- Background check
- Felony convictions prohibited
Buys and sells securities in investment and trading firms for the account of others or for the person's own account.
Requirements reported by the state
- Licence type
- Registry
- Exam
- No exam
- Education
- No education required
- Continuing education
- No continuing education requirement
- Certification
- No mention of certification
- Experience
- No experience
- Background check
- Felony convictions prohibited
- Physical requirement
- No physical requirements
Issuing body
- Department
- Vermont Department of Finanical Regulation
- Division
- Securities Division
- Address
- 89 Main Street Montpelier, VT 05620
- Phone
- (802) 828-3420
- Agency website
- https://dfr.vermont.gov/industry/securities
- Licence page
- https://dfr.vermont.gov/industry/securities
- Last updated
- September 8, 2023
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Vermont'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.