How To Get A Stock Broker License In California. How to apply for the broker exam. Before you can work as a stock broker, you must become licensed, and this can be accomplished by passing the general securities registered representative (series 7) exam through the financial industry regulatory advisory.
Before you can get your broker’s license in california, you must be at least 18 years old. The sie exam tests common topics such as fundamentals, regulatory agencies and their functions, product knowledge, and acceptable and unacceptable practices. Submit the combo exam/licensing application and fees.