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.
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 Producer Licensing Bureau 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.
LIC 654 (Rev. 04/2013)
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