Financial Brokers, Agents, and Dealers
MassachusettsActive
This record was last updated on May 9, 2018, before 2022. It may be out of date — confirm with the board.
- Exam
- State exam
- Education
- None
- Experience
- Not reported
- Background check
- Felony convictions prohibited
A broker-dealer is any person engaged in the business of effecting transactions in securities for the account of others or for his/her own account. An agent means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases and sales of securities
Requirements reported by the state
- Licence type
- Stand-alone license
- 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
- Securities Division, Office of the Secretary of the Commonwealth
- Address
- One Ashburton Place Room 1701 Boston, MA 02108
- Phone
- (617) 727-3548
- Agency website
- http://www.sec.state.ma.us/sct/sctidx.htm
- Last updated
- May 9, 2018
Occupations (O*NET)
- Insurance Producer 41-3021.00
Source and verification
This record is Massachusetts'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, Office of the Secretary of the Commonwealth — see the issuing body section above.
How we process this data. Not legal advice.