Securities Dealer/Investment Advisor
- Exam
- State + third-party exam
- Education
- None
- Experience
- None
- Background check
- Specific type of conviction prohibited
Securities dealers/investment advisers and their agents assist individuals and organizations in transactions involving stocks, bonds, and other securities as defined in the Texas Securities Act. Securities dealers and their agents open accounts for customers and effect securities transactions. Investment advisers and their agents give advice for compensation about the advisability of investing in securities. Securities dealers, investment advisers and their agents must be registered, maintain accurate records, deal fairly with customers, and observe other standards of conduct required by governmental and quasi-governmental agencies.
Requirements reported by the state
- Licence type
- Stand-alone license
- Exam
- Both state and third-party exams required
- Education
- No education required
- Continuing education
- Continuing education required
- Experience
- No experience
- Background check
- Specific type of conviction prohibited
- Physical requirement
- No physical requirements
Issuing body
- Board
- State Securities Board
- Address
- PO Box 13167 Austin, TX 78711
- Phone
- (512) 305-8301
- Agency website
- https://www.ssb.texas.gov/
- Last updated
- August 10, 2023
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Texas'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 State Securities Board — see the issuing body section above.
How we process this data. Not legal advice.