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  • North Carolina Broker Dealer Licenses and Permits

    Home to some of America's fastest-growing local economies, North Carolina licenses its fair share of businesses. However, it keeps the process simple and straightforward. North Carolina shares regulatory duties with its counties and cities -- and manages to balance licensing enough to watch out for public safety and welfare without creating a bureaucratic mess.

    In North Carolina, broker-Dealers perform securities sales and purchases for commission. These agencies – often known as brokerages – are federally regulated and monitored. However, states also regulate securities firms and may have their own licensing process, if not additional fees brokers must pay on top of their federal licensing costs.

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