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