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.
