Brokerage and investment firm

Your response to industry hot topics.

Moderators: Josh, independent guy

Post Reply
CoJones
Insurance Journal Addict
Posts: 48
Joined: Tue Aug 23, 2011 9:34 am

Brokerage and investment firm

Post by CoJones »

Is the regulator process for offering insurance?

Dose anyone know what the NAIC process is ?
Big Dog
Insurance Journal Addict
Posts: 274
Joined: Mon Apr 12, 2004 11:18 am

Re: Brokerage and investment firm

Post by Big Dog »

Are you asking what the process is to register as an insurance agent/broker, and also as an investment (i.e. securities broker/dealer)? Your questions weren't worded logically.

FYI, each state has their own Department of Insurance, so you'll need to contact them. As to registering as a securities broker/dealer, start with the NASD.
Post Reply