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Securities Broker-Dealer
License Description Securities brokers buy and sell securities or commodities in investment and trading firms, or provide financial services to businesses and individuals. May advise customers about stocks, bonds, mutual funds, commodities, and market conditions.
Licensing Agency
Kansas Department of Insurance
Office of the Kansas Securities Commissioner
1300 SW Arrowhead Rd
Topeka, KS 66604
(785) 296 3071
monicka.richmeier@ks.gov
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Exam Third-party exam required
License Type Stand-alone license
License Updated 09/05/2024

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