Registered Representative
Rhode IslandActive
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
Gives advise on which securities to buy and sell, and collects a percentage of the commission income generated as compensation as representative of stock brokerage firm. Provides information and recommendations, solicits additional business. This license is required for any individual who provides such services in Rhode Island, even though their base of operations is not in the state.
Requirements reported by the state
- Licence type
- Stand-alone license
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- RI Department of Business Regulation
- Division
- Division of Securities
- Address
- 1511 Pontiac Ave Building 69-1 Cranston, RI 02920
- Phone
- (401) 462-9586
- Agency website
- https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
- Licence page
- https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
- Last updated
- August 10, 2023
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Rhode Island'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 Division of Securities — see the issuing body section above.
How we process this data. Not legal advice.