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Securities / blue sky licensing
Alaska

Alaska Securities Licensing (2026): Exams & Registration

Navigate Alaska's securities licensing requirements for broker-dealers, agents, investment advisers, and representatives. Understand application steps, fees, and compliance.

By PermitByState Editorial Team · Editorial
Verified June 7, 20266 statute sources
AI-drafted, human-reviewed

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AlaskaSecurities / blue sky licensing
#6 of 50·1 state statute cited·Top quartile

Quick Answer: Key Alaska Securities Licensing Requirements

The Alaska Division of Banking and Securities (DBS) oversees the Alaska Securities Act (AS 45.55) and its related rules in Alaska Administrative Code Title 3, Chapter 08 (3 AAC 08). If you sell securities, manage money for others in exchange for compensation, or supervise individuals who perform these functions in Alaska, you will likely need a license from the DBS.

The four license categories are:

  • Broker-dealer: Firms that buy or sell securities for clients or their own accounts.
  • Agent: Individual registered representatives employed by broker-dealers.
  • Investment adviser (IA): Firms or individuals compensated for providing securities advice.
  • Investment adviser representative (IAR): Individuals who provide advisory services on behalf of an IA.

Registration for broker-dealers and agents is processed through FINRA's Central Registration Depository (CRD). Investment advisers and IARs register through the Investment Adviser Registration Depository (IARD). Alaska uses both systems. Applicants must pass required FINRA or NASAA exams, submit fingerprints, pass a background check, and file state-specific disclosures as mandated by the DBS (AS 45.55;

Sources & Verification (6)
  • An Act relating to virtual currency kiosks; relating to transactions involving virtual currency; relating to unfair trade or deceptive acts or practices; and providing for an effective date.
  • Investment Advisers Act of 1940 (15 U.S.C. §80b-1 et seq.) — federal IA registration framework; firms under $100M AUM generally state-registered (NSMIA §203A).
  • Securities Exchange Act of 1934 (15 U.S.C. §78a et seq.) — broker-dealer regulation, anti-fraud, and SEC supervisory authority.
  • National Securities Markets Improvement Act of 1996 (NSMIA, Pub. L. 104-290) — preempts state registration of federal covered advisers and securities; states retain anti-fraud.
  • Uniform Securities Act (NASAA model) — adopted with variations by most states; governs IAR registration, blue sky filings, and exemptions.
  • FINRA Series 65 / 63 / 66 / 7 — uniform state and federal exams administered via Prometric; pass scores and content outlines published by NASAA/FINRA.

Last verified: June 7, 2026

Editorial process: See methodology →

How we verify: 9 source adapters (FAA, DSIRE, IRS, OpenStates, etc.) → AI draft → AI editor → AI polish → spot human review.

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