New York |
Producer - Resident Individual
NOTE: Any convicted felony engaged in the business of insurance or who is about to engage in the business of insurance in this State shall request the commissioner’s written consent to engage in the
business of insurance as required in §431:2-201.3;
IMPORTANT: All of the items listed above must be submitted together as an application packet. Incomplete applications will be returned to you. Appointments: The applicant is not required to submit an appointment at the time of application. An appointment must be in place to do business. The Notice of Appointment can be found at http://hawaii.gov/dcca/ins/producers/instructions_insurance_license More information on the new Producer Licensing law, can be found in the Hawaii Revised Statutes: §431:9A Licensees are reminded to secure a General Excise Tax License, as required under the tax laws for the State of Hawaii. Please contact the Hawaii Department of Taxation at (808) 587-4242 or call Toll Free at 1-800-222-3229, for more information. Securities License RequirementsAny securities professional associated with a member firm-including partners, officers, directors, branch managers, department supervisors, and salespersons-must register with the Financial Industry Regulatory Authority (FINRA). The registration application requires information about the individual's prior employment and disciplinary history. FINRA prescribes two levels of qualification and registration:
As part of the registration process, securities professionals must pass examinations administered by FINRA to demonstrate competence in the areas in which they will work. These mandatory qualification examinations cover a broad range of subjects on the markets, as well as the securities industry and its regulatory structure, ensuring a minimum level of understanding and expertise. For additional information, you should consult with your broker-dealer management team. You may also visit FINRA's website for detailed information. |
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