License: Series 27 - Financial and Operations Principal

Covered supervisory activities include the following. ?Back office operations ?Preparation and maintenance of a member firm’s books and records ?Compliance with financial responsibility rules that apply to self-clearing broker-dealers and market makers ?Mutual funds ?Closed-end funds (initial offering only) ?Variable annuities ?Variable life insurance
More information about this license

  • Stand-alone license
  • State exam required
  • No education required
  • Continuing education required
  • No experience required
  • Background check required
  • No physical requirements
License information updated 07/19/2019