Securities Agent
- Exam
- Not reported
- Education
- Not reported
- Experience
- Experience
- Background check
- None
GENERAL JOB DESCRIPTION Securities ""agent"" means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchase or sales of securities for a fee, compensation or commission. EDUCATIONAL REQUIREMENTS You must be a high school graduate or possess a G.E.D. equivalency. EXAMINATION REQUIREMENTS For application procedures, schedule of examinations, type examination, passing score, examination fee, and retake procedures, contact the regulatory agency. GENERAL INFORMATION for LICENSURE or CERTIFICATION You must be at least eighteen (18) years of age. There are no residency, health or work experience requirements. You must be trustworthy, honest and of a good reputation. All licenses must be renewed by December 31, annually. The initial fee is $50.00 and the annual renewal fee is $50.00.
Requirements reported by the state
- Licence type
- Stand-alone license
- Experience
- Experience
- Background check
- No criminal record requirements
Issuing body
- Department
- Department of Financial Institutions
- Address
- 500 Mero Street 2 SW 19 Frankfort, KY 40601
- Phone
- (502) 573-3390
- Agency website
- http://kfi.ky.gov
- Licence page
- http://kfi.ky.gov
- Last updated
- July 18, 2024
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Kentucky'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 Department of Financial Institutions — see the issuing body section above.
How we process this data. Not legal advice.