Securities and investments is the mainstays and the cream for an independent broker-dealer that must have certifications and licenses from the Financial Industry Regulatory Authority. As an self-regulatory organization, these brokers must adhere to fiduciary responsibility standards while being registered with the https://punchng.com/how-to-become-independent-broker-dealer/ and filing a SEC FORM BD. State certifications may also be required, but ultimately hard work and perseverance will be essential to succeed in this difficult and rewarding field.