• Description:

Advises others as to the value of securities, or as to the advisability of investing in, purchasing, or selling securities, or who issues reports concerning securities and is employed by or associated with an investment advisor.

• Licensing Agency:

VERMONT DEPARTMENT OF FINANCIAL REGULATION
Securities Division
89 Main Street
Montpelier, VT 05620-3101
Phone:  802 828-3420
E-mail:  dfr.securitiesinfo@vermont.gov
Web site:  https://dfr.vermont.gov/industry/securities

• Occupations that may require this license:

Personal Financial Advisors

last update: September 2021