License Finder

License Finder

SECURITIES DEALER/INVESTMENT ADVISOR
License Description 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.
Licensing Agency
State Securities Board
PO Box 13167
Austin, TX 78711
(512) 305 8301
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Specific type of conviction prohibited
Education No educational requirements
Exam Both state and third-party exams required
License Type Stand-alone license
License Updated 08/10/2023
Physical Requirements No physical requirements

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