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License Finder

Series 39 - Direct Participation Programs Limited Principal
License Description Covered supervisory activities and products include regulatory compliance over sales of: ?Direct participation program limited partnerships (e.g., real estate, oil and gas, and equipment leasing) ?Limited liability companies ?S corporations In addition to sales supervision, the Series 39 qualifies a principal for the overall supervision of a firm's investment banking and securities business—including compliance, underwriting and advertising—for those activities specially covered by each supervisory principal's license.
Licensing Agency
Financial Industry Regulatory Authority (FINRA)
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Education No educational requirements
Exam State exam required
License Type Stand-alone license
License Updated 07/19/2019
Physical Requirements No physical requirements

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