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North Carolina Insurance License Requirements
All questions about licensure should be directed to:
STATE SPECIFIC REQUIREMENTS
The Department must receive and review the application, the criminal history background record, and supporting documentation from any background or screening questions with a "yes" response" for licensure decision. Please be aware that this may add additional processing time of 4-6 weeks for license issuance.
North Carolina Candidate Handbook provides additional information regarding the examination procedures.
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.