License: Series 28 - Introducing Broker/Dealer Financial and Operations Principal

Covered supervisory activities include the following. ?Back office operations ?Preparation and maintenance of a member firm’s books and records ?Compliance with financial responsibility rules that apply to fully disclosed broker-dealers that do not hold customer funds and securities, and do not carry customer accounts

  • Stand-alone license
  • State exam required
  • No education required
  • Continuing education required
  • No experience required
  • Background check required
  • No physical requirements
License information updated 07/19/2019