Securities Salesman Registration
North CarolinaActive
- Exam
- State exam
- Education
- None
- Experience
- None
- Background check
- Specific type of conviction prohibited
An individual who represents a dealer in effecting or attempting to effect purchases or sales of securities.
Requirements reported by the state
- Licence type
- Registry
- Exam
- State exam required
- Education
- No education required
- Continuing education
- No continuing education requirement
- 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
- 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.