Securities License
A Securities License is a certification that allows individuals to buy and sell financial instruments like stocks, bonds, and mutual funds on behalf of clients. To obtain this license, candidates typically need to pass specific exams administered by regulatory bodies, such as the Financial Industry Regulatory Authority (FINRA) in the United States.
Having a Securities License ensures that financial professionals are knowledgeable about market regulations and ethical practices. It helps protect investors by ensuring that licensed individuals adhere to industry standards and provide informed advice regarding investment options.