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CA Department of Insurance

Stock Agent

Licensing Information

Applicable Forms


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.


Qualifications:

  • Minimum Age: 18 years.
  • Residency: California residency is required.
  • Prelicensing Experience/Education: Not required.
  • Continuing Education: Not required.
  • Entity Type: Individual only.

Filing Requirements:

  • 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.
  • Fees: 


License Term:

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.


Additional Information:

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)

Return to Producer Licensing Bureau Forms Main Page


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