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New York Insurance License Requirements
The Department is authorized to license individuals who wish to operate as insurance agents, brokers and consultants, independent adjusters and public adjusters, and others, as defined in New York Insurance Laws.
The steps to become licensed are:
Pre-License Education Requirements
Prelicensing education requirements have been established to ensure that license candidates have a minimum level of knowledge about the insurance marketplace and related New York State laws and regulations.
Prelicensing requirements are as follows:
New York Candidate Handbook provides additional information regarding the examination procedures.
All questions about licensure should be directed to:
New York State Insurance Department
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.