Series 53 - Municipal Securities Principal

This record was last updated on July 19, 2019, before 2022. It may be out of date — confirm with the board.

Exam: State exam
Education: None
Experience: None
Background check: Required

Municipal securities, including municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs))

Requirements reported by the state

Licence type: Stand-alone license
Exam: State exam required
Education: No education required
Continuing education: Continuing education required
Certification: No mention of certification
Experience: No experience
Background check: Background check required
Physical requirement: No physical requirements

Issuing body

Department: Financial Industry Regulatory Authority (FINRA)
Agency website: http://www.finra.org/industry
Licence page: http://www.finra.org/industry/permitted-activities-registered-principals
Last updated: July 19, 2019

Occupations (O*NET)

Securities Agent 41-3031.00

Source and verification

This record is United States'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 Financial Industry Regulatory Authority (FINRA) — see the issuing body section above.

How we process this data. Not legal advice.