License Finder

License Finder

Investment Adviser
License Description Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for comp
Licensing Agency
NC Department of the Secretary of State
Securities Division
2 South Salisbury St
Raleigh, NC 27601-2903
(919) 814 5500
secdiv@sosnc.gov
Active Status Active
Certification Certification may substitute for license requirements
Criminal Record Specific type of conviction prohibited
Education No educational requirements
Exam Third-party exam required
License Type Stand-alone license
License Updated 03/25/2024
Physical Requirements No physical requirements

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