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Broker-Dealer
License Description

Occupational Description


A Broker-Dealer is a firm which buys and/or sells securities. A Broker-Dealer may be represented by an Agent in making transactions. An Agent must be employed/registered by a Broker-Dealer to transact business in Nebraska, unless exempt.

Licensure Requirements


Registration requirements may be obtained by contacting the Nebraska Department of Banking and Finance.

Fees


Initial Broker-Dealer License- $250.00

Renewal


Licenses must be renewed annually by December 31. The renewal fee is $250.00.
Licensing Agency
Nebraska Dept. of Banking & Finance
1526 K St, Ste 300
Lincoln, NE 68509
(402) 224 3445
rodney.griess@nebraska.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
License Type Stand-alone license
License Updated 09/06/2024

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