• Description:

Advises others as to the value of securities, or as to the advisability of investing in, purchasing, or selling securities, or who issues reports concerning securities and is employed by or associated with an investment advisor.

• Licensing Agency:

VERMONT DEPARTMENT OF FINANICAL REGULATION
Securities Division
89 Main Street
Montpelier, VT 05620-3101
Phone:  802 828-3420
E-mail:  dfr.securitiesinfo@vermont.gov
Web site:  https://dfr.vermont.gov/industry/securities

• Licensing Requirments:

License Type:	Registry
Exam:	No exam
Education:	No education required
Continuing Education:	No continuing education requirement
Certification:	No mention of certification
Experience:	No experience required
Criminal Record:	Felony convictions prohibited
Physical Requirements:	No physical requirements
Active Military/Veterans:	No veteran preference

• Occupations that may require this license:

Personal Financial Advisors

last update: September 2023