BROKER-DEALERS License in Wisconsin
Quick Answer
Wisconsin requires FINRA exams (Series 7 + Series 63/66), broker-dealer sponsorship, and registration through the Division of Securities within the Department of Financial Institutions.
- Exam
- FINRA Series 7 + Series 63
- Total Cost
- $500 (est.)
- Timeline
- 2-4 months
- Background Check
- Required
- Renewal
- Every Annually (December 31)
Requirements
BROKER-DEALERS license in Wisconsin
Estimated Costs Est.
- Exam Fee
- $305
- Total Estimated Cost
- $500
Cost Breakdown
Estimated costs for getting your BROKER-DEALERS license in Wisconsin. Values marked "Est." are extracted from official descriptions.
Enter the cost of your pre-licensing education program
Fees marked "Est." are extracted from official descriptions and may not reflect current pricing. Verify with the Wisconsin licensing board.
BROKER-DEALERS Salary in Wisconsin
Entry Level
$48,010
Median
$64,250
Experienced
$159,240
Source: Bureau of Labor Statistics. Salary data is for informational purposes only.
How to Get Licensed
Step-by-step roadmap to becoming a licensed BROKER-DEALERS in Wisconsin.
- 1
Complete Education Requirements
Specific course required
- 2
Submit Background Check
Felony convictions prohibited
- 3
Pass the Required Exam
State exam required — FINRA Series 7 + Series 63
- 4
Submit Your Application
File your application with the licensing agency.
- 5
Receive Your License
Processing typically takes 2-4 months.
BROKER-DEALERS Licensing in Wisconsin: What to Know
Wisconsin registers broker-dealers and securities agents through the Division of Securities within the Department of Financial Institutions. The COS data provides listings for both 'Broker-Dealers' (firms that offer and sell securities to the public) and 'Securities Agents' (persons representing a broker-dealer or issuer). All agents must be sponsored by a registered broker-dealer, pass FINRA exams including the Series 7 and Series 63 or 66, and register through the CRD system. Wisconsin's Uniform Securities Law (Chapter 551) governs these requirements.
Frequently Asked Questions
- How much does a BROKER-DEALERS license cost in Wisconsin?
- The estimated total cost is $500, including application fees, exam fees ($305), and education costs.
- How long does it take to get a BROKER-DEALERS license in Wisconsin?
- The process typically takes 2-4 months, depending on education completion and exam scheduling.
- What exam do I need for a BROKER-DEALERS license in Wisconsin?
- You need to pass the FINRA Series 7 + Series 63. State exam required
Considering another state?
Compare BROKER-DEALERS requirements across states.
View all states →Data from CareerOneStop (DOLETA/DEED). Last updated: February 15, 2026.