Securities Broker - Dealer
- Exam
- No exam
- Education
- Not reported
- Experience
- Experience
- Background check
- None
GENERAL JOB DESCRIPTION Securities ""Broker-Dealer"" means any corporation, partnership, or sole proprietor engaged in the business of effecting transactions in securities for a fee, compensation, or commission for the account of others or for his/her own account. EDUCATIONAL REQUIREMENTS Must be knowledgeable of the Kentucky Securities Act and rules and regulations promulgated thereunder. 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 maintain a good reputation. All licenses must be renewed by December 31, annually. The initial filing fee is $120.00 and the annual renewal fee is $120.00. SPECIAL COMMENTS or CONDITIONS No examination is required of the broker-dealer as an entity.
Requirements reported by the state
- Licence type
- Tied to business
- Exam
- No exam
- 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.