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Being Securities Licensed – Is It For Me?


Course #509   Credit Hours: 4

This course is designed for non-licensed individuals interested in learning more about securities licensing – its relevance and application to their Main Street business brokerage or M & A practice. You will learn how to determine if you are eligible to become securities licensed, the advantages and disadvantages of being licensed, and some of the myths about being securities licensed. This interactive course allows the professional intermediary to become knowledgeable in what it takes to become licensed, the cost, the Broker-Dealer’s role, an overview of key current regulations (such as the USA PATRIOT Act) and their implications for Main Street and M&A transactions. Upon completion of this course you will understand why securities licensing is being referred to as “the gold standard, and a requirement for our industry.”

It is highly recommended that participants have taken #101, #301 or #380 or have a good understanding of the intermediary process.