Securities Agents
- Exam
- Third-party exam
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
A securities agent is a person who represents a broker-dealer or issuer in offering or selling securities to the public or soliciting someone to become a customer of a broker-dealer. All securities agents, regardless of their location, must be registered to conduct business with Wisconsin investors unless they qualify for an exemption from registration. There is no de minimis exemption for securities agents. Also, there is no such thing as an "unsolicited rule" that allows an agent to accept unsolicited orders from Wisconsin customers without being registered.
Requirements reported by the state
- Licence type
- Stand-alone license
- Exam
- Third-party exam required
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- WI Dept of Financial Institutions
- Division
- Division of Securities
- Address
- 201 W Washington Ave, Suite 300 P.O. Box 1768 Madison, WI 53707
- Phone
- (608) 266-2139
- Agency website
- http://www.wdfi.org/fi/securities/registration/
- Last updated
- September 10, 2024
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Wisconsin'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.