Securities Broker-Dealers Firms and Agents
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
Pursuant to Minn. Stats. §§ 80A.56 and 80A.57, it is unlawful for a person to transact business in Minnesota as a broker-dealer or agent unless the person is registered or exempt from registration. Minnesota Department of Commerce Review: Broker Dealers Broker Dealers and their Agents How to Register as a Broker Dealer Firm Application requirements for broker-dealers are defined in Minn. Stat.§ 80A.61 and Minn. Rule 2876.4062. All applications for registration as a broker dealer must be filed electronically through the Central Registration Depository (CRD) Forms and Fee Requirements for Initial Registration Registration Amendments & Renewals Experience Requirement & Experience Requirements Net Capital Requirements How to Register as a Broker Dealer Agent Forms and Fees Requirements for Initial Registration Renewal of Registration Required Examinations None
Requirements reported by the state
- Licence type
- Registry
Issuing body
- Department
- Minnesota Department of Commerce
- Division
- Licensing Unit
- Address
- 85 7th Place East, Suite 600 St. Paul, MN 55101
- Phone
- (651) 296-6319
- Agency website
- http://www.commerce.state.mn.us/
- Last updated
- May 30, 2024
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is Minnesota'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 Licensing Unit — see the issuing body section above.
How we process this data. Not legal advice.