Securities – Broker – Dealer
UtahActive
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
Securities/Broker-Agent is any person engaged in the business of effecting transactions in securities, buy and sell securities in investment and trading firms, or call upon businesses and individuals to sell financial services. Provide financial services, such as loan, tax, and securities counseling.
Requirements reported by the state
- Licence type
- Registry
- Military and veterans
- Military and spouses are exempt from licensure requirements
Issuing body
- Department
- Utah Department of Commerece
- Division
- Utah Division of Securities
- Address
- 160 East 300 South 2nd Floor PO Box 146760 Salt Lake City, UT 84114
- Phone
- (801) 530-6600
- Agency website
- http://www.securities.utah.gov/
- Licence page
- http://www.securities.utah.gov/
- Last updated
- July 19, 2024
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Utah'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 Utah Division of Securities — see the issuing body section above.
How we process this data. Not legal advice.