Occupational license information for Registered Representative in US | CareerOneStop

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Registered Representative
License Description	Gives advise on which securities to buy and sell, and collects a percentage of the commission income generated as compensation as representative of stock brokerage firm. Provides information and recommendations, solicits additional business. This license is required for any individual who provides such services in Rhode Island, even though their base of operations is not in the state.
Licensing Agency	RI Department of Business Regulation Division of Securities 1511 Pontiac Ave, Building 69-1 Cranston, RI 02920 (401) 462 9586 https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
Active Status	Active
Criminal Record	No criminal record prohibitions
License Type	Stand-alone license
License Updated	08/10/2023

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Occupational license information is from the Analyst Resource Center (ARC).

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