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License Finder

Securities Broker-Dealer
License Description A Securities Broker-Dealer is a person engaged in the business of effecting transactions in securities for the account of others or for his or her own account. It is unlawful for a person to transact business in Arkansas as a broker-dealer unless he or she is registered. Requirements: 1) Must be bonded. 2) Must be registered in resident state. Must have at least one person who shall be designated as having direct supervision over employees and registered as an agent. Must successfully pass FINRA examinations. Initial registration fee: $300.00, Renewal fee: $300.00, Branch fee: $50.00
Licensing Agency
Arkansas Department of Commerce
1 Commerce Way, Suite 402
Little Rock, AR 72202-2086
(501) 324 9260
asdinfo@arkansas.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
Criminal Record No criminal record prohibitions
Exam State exam required
License Type Register with licensing agency
License Updated 06/28/2022
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