Securities Broker-Dealer
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
A Securities Broker-Dealer is a person engaged in the business of effecting transactions in securities for the account of others or for his or her own account. It is unlawful for a person to transact business in Arkansas as a broker-dealer unless he or she is registered. Requirements: 1) Must be bonded. 2) Must be registered in resident state. Must have at least one person who shall be designated as having direct supervision over employees and registered as an agent. Must successfully pass FINRA examinations. Initial registration fee: $300.00, Renewal fee: $300.00, Branch fee: $50.00
Requirements reported by the state
- Licence type
- Registry
- Military and veterans
- A temporary license available to military and spouses until formal license approval
Issuing body
- Department
- Arkansas Department of Commerce
- Address
- 1 Commerce Way Suite 402 Little Rock, AR 72202
- Phone
- (501) 324-9260
- Agency website
- www.securities.arkansas.gov
- Last updated
- June 28, 2022
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Arkansas'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 Arkansas Department of Commerce — see the issuing body section above.
How we process this data. Not legal advice.