Key Courses for Broker-Dealers

Pick and choose from the courses you need to satisfy your financial compliance certificate. If you need help at anytime, please reach out to our staff. We are happy to help.

Broker-Dealer Bundles

A person or firm in the business of buying and selling securities for its own account or on behalf of its customers.


These courses are required

Anti-money Laundering
Identity Theft Prevention
(at least every 2 years)
Regulation Best Interest

Recommended Courses

Intro to Asset Management
(upon hire)