A securities agent, as defined in Iowa Code section 502.102, is an individual who represents a broker-dealer to purchase or sell securities or who represents an issuer to purchase or sell an issuer’s securities.  All securities agents must be registered unless they are selling securities for an issuer and do not receive compensation. 

Information about registering as a securities agent is available here.

FINRA’s website for industry professionals discusses many issues such as registration and qualifications; rules and guidance; education and training; FINRA’s oversight; and regulatory filing and reporting.

You may review information about your employment history, certifications, and licenses, as well as regulatory actions, violations or complaints, through the search tool at FINRA’s BrokerCheck.

 

Contact Us

If you need assistance, please contact the Iowa Insurance Division.