State and federal laws require brokers, advisers and firms to be registered or licensed. Canadian securities laws require anyone trading securities, or in the Stockbrokers must hold certain securities licenses in order to buy and sell stocks. The Financial Industry Regulatory Authority (FINRA) oversees stockbroker Browse 309 LOS ANGELES, CA STOCK BROKER job ($26K-$423K) listings hiring now Associated topics: annuities, broker dealer, buy, dow jones, fiduciary, Chase Wealth Management - Financial Advisor in Licensing - West Hills, CA.