Application for Certificate to Sell Securities as Agent, form LIC 441-1.
Request For Live Scan Service, form LIC 442-39A.
Authorizing Act: Section 825 of the California Insurance Code reads, in part:
A Stock Agent is a person employed or appointed by an insurer or broker who, within this State and for a compensation, sells any security.
- Minimum Age: 18 years.
- Residency: California residency is required.
- Prelicensing Experience/Education: Not required.
- Continuing Education: Not required.
- Entity Type: Individual only.
- Application: Application for Certificate to Sell Securities as Agent, form LIC 441-1.
- Fingerprint Impressions: Fingerprint impressions are required for unlicensed applicants.
- Additional Documents: The Insurance Commissioner may require such other documents as will aid in determining whether the applicant meets the qualifications for a license.
- Examination: Not required.
- License filing: $150
- Fingerprint Processing: Review Fingerprint Processing link for fees.
The term of the license begins the date the license is issued and expires on the first day of July next succeeding its date of issue.
Note: A Stock Agent license is not renewed. Each year a new application must be submitted for a continuation of an existing stock agent certificate.
Federal law (Title 18 United States Code Section 1033) prohibits anyone who has been convicted of a felony involving dishonesty or a breach of trust from conducting the business of insurance unless they have obtained the written consent of the Insurance Commissioner. It is a violation of this statute to conduct business of insurance without the Commissioners written consent. If you have been convicted of a felony involving dishonesty or a breach of trust then you must attach a copy of this consent. If you have not obtained this written consent you must do so by filing a 1033 Short Form Application for Written Consent prior to filing your application.
To obtain insurance licensing forms by mail, send an e-mail request to: Producer Licensing Bureau.
To obtain insurance licensing information, you may phone our Licensing Hotline at (800) 967-9331.
All fees mailed to the Department must be addressed to:
Department of Insurance
P.O. Box 1139
Sacramento, CA 95812-1139
All filing fees submitted are not refundable, whether or not the application is acted upon or an examination taken.