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Career path

Securities broker or dealing representative career path

A practical route map for people who want to enter brokerage, dealing, execution, order routing, or securities transaction roles.

Typical roles

  • - Securities broker
  • - Dealing representative
  • - Registered representative
  • - Sales trader
  • - Introducing broker staff

Where licensing appears

  • - Broker-dealer or dealing permission
  • - Representative registration or appointment
  • - Client account opening and suitability
  • - Supervision and conduct rules

Exam or qualification starting points

  • - US: SIE plus Series 7/63 depending on role and state
  • - HK: SFC Type 1 LE paper map
  • - SG: CMFAS dealing modules
  • - UK: FCA TC appropriate qualification where applicable
  • - AUS: AFSL dealing/general or personal advice path

Practical first steps

  1. 1. Decide whether the role touches execution, introductions, transaction compensation, advice, or custody.
  2. 2. Find the principal firm route before buying exam prep.
  3. 3. Build a basic vocabulary map: products, clients, orders, suitability, market conduct, and register checks.

Knowledge to build

Disclaimer

Information on LicenseCompare is for general educational purposes only and does not constitute legal, regulatory, financial, tax, investment, or professional advice. Licensing requirements depend on facts and change over time. Always consult official regulator materials and qualified professional advisers.