Licensed Occupation
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Licensed Occupation (United States)
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License Description:
Covered supervisory activities and products include regulatory compliance over sales of:
?Direct participation program limited partnerships (e.g., real estate, oil and gas, and equipment leasing)
?Limited liability companies
?S corporations
In addition to sales supervision, the Series 39 qualifies a principal for the overall supervision of a firm’s investment banking and securities business—including compliance, underwriting and advertising—for those activities specially covered by each supervisory principal’s license.
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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Source: CareerOneStop, sponsored by the U.S. Department of Labor (USDOL).
Note: Information on licensed occupations is gathered in each state by Labor Market Information units under a grant from USDOL. States are required to submit updated license information once every two years.