Broker-Dealer
- Exam
- State exam
- Education
- None
- Experience
- Not reported
- Background check
- Felony convictions prohibited
JOB DESCRIPTION: A broker-dealer is a person engaged in the business of buying and selling securities. In addition, a broker-dealer’s responsibilities may include offering financial counseling and educating clients in trading practices. Broker-dealers may serve a variety of clients such as private investors or institutional investors. A broker-dealer may choose to specialize in one or more specific financial products such as stocks, bonds, or options. NOTE: Most often, a broker-dealer is an artificial entity such as a corporation, limited partnership or limited liability company rather than an individual.
Requirements reported by the state
- Licence type
- Tied to business
- Exam
- State exam required
- Education
- No education required
- Continuing education
- Continuing education required
- Certification
- No mention of certification
- Background check
- Felony convictions prohibited
Issuing body
- Department
- Oklahoma Department of Securities
- Address
- 204 North Robinson Avenue Suite 400 Oklahoma City, OK 73102
- Phone
- (405) 280-7700
- Agency website
- https://www.securities.ok.gov/
- Licence page
- www.securities.ok.gov
- Last updated
- June 20, 2018
Occupations (O*NET)
- Insurance Producer 41-3021.00
Source and verification
This record is Oklahoma'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 Oklahoma Department of Securities — see the issuing body section above.
How we process this data. Not legal advice.