License: Securities Broker - Dealer

Department of Financial Institutions external site

500 Mero Street

2 SW 19

Frankfort, KY 40601-0000

(502) 573-3390

GENERAL JOB DESCRIPTION Securities ""Broker-Dealer"" means any corporation, partnership, or sole proprietor engaged in the business of effecting transactions in securities for a fee, compensation, or commission for the account of others or for his/her own account. EDUCATIONAL REQUIREMENTS Must be knowledgeable of the Kentucky Securities Act and rules and regulations promulgated thereunder. GENERAL INFORMATION for LICENSURE or CERTIFICATION You must be at least eighteen (18) years of age. There are no residency, health or work experience requirements. You must be trustworthy, honest and maintain a good reputation. All licenses must be renewed by December 31, annually. The initial filing fee is $120.00 and the annual renewal fee is $120.00. SPECIAL COMMENTS or CONDITIONS No examination is required of the broker-dealer as an entity.