Application for Licensure
All candidates must satisfy all applicable resident or non-resident requirements to apply for a license. Please visit the Iowa Insurance Division web site at www.iid.state.ia.us for more information on the procedures and requirements for obtaining a license.
Any candidate who would like to transact insurance business as a resident producer in
Iowa must pass the appropriate examination and apply for a license by the Iowa Division of Insurance. If the Iowa Division of Insurance approves the application, the candidate will be issued a license.
Residents of Iowa must:
Requirements for Non-Residents
Candidates for non-resident licensing, should visit the Iowa Insurance Division
web site at www.iid.state.ia.us for more information.
Securities License Requirements
Any 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.