Securities Dealer/Broker Registration

Exam: Third-party exam
Education: None
Experience: None
Background check: Specific type of conviction prohibited

Any person (including individuals or entities) engaged in the business of effecting transactions in securities for the account of others or for their own account.

Requirements reported by the state

Licence type: Registry
Exam: Third-party exam required
Education: No education required
Continuing education: Continuing education required
Certification: No mention of certification
Experience: No experience
Background check: Specific type of conviction prohibited
Physical requirement: No physical requirements

Issuing body

Department: NC Department of the Secretary of State
Division: Securities Division
Address: 2 South Salisbury St Raleigh, NC 27601
Phone: (919) 814-5500
Agency website: https://www.sosnc.gov/divisions/securities/for_securities_professionals
Licence page: https://www.sosnc.gov/divisions/securities/dealer_registration
Last updated: March 25, 2024

Occupations (O*NET)

Securities Agent 41-3031.00

Source and verification

This record is North Carolina'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 Securities Division — see the issuing body section above.

How we process this data. Not legal advice.