Skip to main content


5 Things You Should Know about Securities Professionals

February 25, 2015

Maybe you use the services of a securities professional, like a broker or investment adviser, or are thinking about contacting one. Maybe you’ve wondered what it takes to become a securities professional. We’ve put together a list of five things you should know about securities professionals, including who needs to register with FINRA and what it takes to get and maintain a FINRA registration.

Find us: Twitter / Facebook / LinkedIn / E-mail

Subscribe to our show on Apple Podcasts, Google Play and by RSS.