Registration of Brokers and Advisers
The registration section regulates the activities of broker-dealers, agents, investment advisers, and investment adviser representatives. Members of the registration staff register approximately 1,700 broker-dealers, 99,000 agents, 1,100 investment advisers and 4,000 investment adviser representatives annually.
After review, the registration section may register the applicant or request that the commissioner deny, suspend, or revoke an individual or a firm's registration. In addition, the registration section may refer an application to the enforcement section for review.
Download the appropriate form(s) below. For more information, see the answers to frequently asked questions regarding broker and adviser registration.
Broker-Dealers
Securities Agents
Investment Advisers
Investment Adviser Representatives
Issuer Agents
* FINRA (formerly NASD) Uniform Registration Forms
Registration of Brokers and Advisers documents are available on this website in the .pdf format. In order to view or print them, you must have Adobe Reader installed on your computer. To download a free copy of Adobe Reader, click on the icon below.
NOTE: If you are experiencing problems opening PDFs using IE8, please place the mouse over the selected PDF, right-click then select Open in New Tab or Open in New Window.