License Finder

License Finder

Broker-Dealer Agent
License Description Buys and sells securities in investment and trading firms for the account of others or for the person's own account.
Licensing Agency
Vermont Department of Finanical Regulation
Securities Division
89 Main Street
Montpelier, VT 05620-3101
(802) 828 3420
dfr.securitiesinfo@vermont.gov
Active Status Active
Continuing Education No continuing education requirement to maintain license
Criminal Record Felony convictions prohibited
Education No educational requirements
Exam No exam required
License Type Register with licensing agency
License Updated 09/08/2023
Physical Requirements No physical requirements

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