Broker-Dealer
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
<h3>Occupational Description</h3><br>A Broker-Dealer is a firm which buys and/or sells securities. A Broker-Dealer may be represented by an Agent in making transactions. An Agent must be employed/registered by a Broker-Dealer to transact business in Nebraska, unless exempt.<br><h3>Licensure Requirements</h3><br>Registration requirements may be obtained by contacting the Nebraska Department of Banking and Finance.<br><h3>Fees</h3><br>Initial Broker-Dealer License- $250.00<br><h3>Renewal</h3><br>Licenses must be renewed annually by December 31. The renewal fee is $250.00.
Requirements reported by the state
- Licence type
- Stand-alone license
- Military and veterans
- A temporary license available to military and spouses until formal license approval
Issuing body
- Department
- Nebraska Dept. of Banking & Finance
- Address
- 1526 K St, Ste 300 Lincoln, NE 68509
- Phone
- (402) 224-3445
- Agency website
- https://ndbf.nebraska.gov/
- Licence page
- ndbf.nebraska.gov
- Last updated
- September 6, 2024
Occupations (O*NET)
- Insurance Producer 41-3021.00
Source and verification
This record is Nebraska'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 Nebraska Dept. of Banking & Finance — see the issuing body section above.
How we process this data. Not legal advice.