Investor Protection & Securities:: Registration:: Registration of Brokers and Advisers

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 1,602 broker-dealers, 151,266 agents, 1,822 investment advisers and 11,566 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

• Broker-Dealer Affidavit (Form SBD-1)

• Current Uniform Registrations (FINRA, formerly NASD) *

• Checklist for Missouri Broker-Dealer Applicants

Securities Agents

• Form U-4 *

• Form U-5 *

Investment Advisers

• Form ADV

• Form ADV-W

• Checklist for State-Covered Investment Advisers

• State Covered Investment Adviser Affidavit (Form SADV-1)

Investment Adviser Representatives

• Form U-4 *

• Form U-5 *

Issuer Agents

• Form U-4 *

• Form U-5 *

* FINRA (formerly NASD) Uniform Registration Forms

 

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