Securities Agent
- Exam
- State + third-party exam
- Education
- Specific course
- Experience
- None
- Background check
- Required
Securities agents buy and sell stocks and bonds for individuals and organizations. As representatives of a brokerage firm, they perform these transactions by applying knowledge of securities, market conditions, government regulations, and financial status of customers; provide customers with information and advice regarding investments based on interpretation of data from securities reports, financial periodicals, and the stock-quotation-viewer screen; record and transmit buy and sell orders to trading division in accordance with customer's wishes; calculate and record cost of transaction for billing purposes, using quotations received during transmittal of order; develop portfolio of selected investments for customer; and, compile a list of prospective customers as prospects to obtain additional information. They may also be called registered representatives, account executives, or brokers.
Requirements reported by the state
- Licence type
- Tied to business
- Exam
- Both state and third-party exams required
- Education
- Specific course required
- Continuing education
- Continuing education required
- Certification
- Certification required
- Experience
- No experience
- Background check
- Background check required
Issuing body
- Department
- Department of Inspections, Appeals, & Licensing
- Division
- Division of Insurance
- Board
- Board of Physical & Occupational Therapy
- Address
- 6200 Park Avenue Des Moines, IA 50321 Suite 100 Des Moines, IA 50309
- Phone
- (515) 281-5523
- Last updated
- June 30, 2021
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Iowa'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 Board of Physical & Occupational Therapy — see the issuing body section above.
How we process this data. Not legal advice.