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.

Key Course for Broker-Dealers

Pick and choose from the course's 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.

Requirements

These courses are required

Cybersecurity
Annually
Anti-money Laundering
Annually
Regulation Best Interest
(discretionary)

Recommended Courses

Identity Theft Prevention
(at least every 2 years)
Intro to Asset Management
(upon hire)