Veteran Licensing Platform – Development

Securities Registration by State

Explore Broker-Dealer Agent and Investment Adviser Representative requirements, then review related examinations and official sources.

Explore the Financial Advisor career

State and District of Columbia pathways

Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming

Securities exams

The SIE can be taken without broker-dealer sponsorship. Other qualification examinations and registrations may require firm sponsorship, affiliation, or additional conditions. Passing an exam alone does not create registration or authority.

National