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Securities Agent, Securities Broker-Dealer License

The license information below is specific to the state of Minnesota.

This license applies to the following occupations:

Securities, Commodities, and Financial Services Sales Agents


Each partner officer director or person serving in a similar capacity must have passed the required agent and principal examinations or represent in writing that they will not be in engaged in the sale of securities in Minnesota

Online Application.

Licensing Authority

Minnesota Department of Commerce
Licensing Unit
85 7th Place East, Suite 600
St. Paul, MN 55101

Phone: (651) 296-6319
Email: licensing@state.mn.us

Data is collected by the Department of Employment and Economic Development.