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Licensing - NEW EMAIL RULE

NEW EMAIL RULES:

As recently adopted in Rules 51-4.3(K) and 51-4.4(IA)(I), Colorado-licensed sales representatives and investment adviser representatives are required to file their current business email address with the Commissioner by June 1, 2015.

Sales representatives and investment adviser representatives may file the required information by clicking here. Additionally, employing broker-dealers and investment advisers may file the required information on behalf of the firm’s representatives.

The Division understands that some firms may have a substantial number of representatives. As a courtesy and to ease the initial burden, the Division is allowing firms to file the required information on behalf of their representatives by completing this spreadsheet and emailing the spreadsheet to: dora_securitieswebsite@state.co.us. Please include “Email Rule” in the subject line of the email. The required information must be updated on an individual licensee basis going forward.

 

Inquiries regarding a Broker's licensing status and disciplinary history can be made by calling the Division at 303-894-2320 and asking to speak to the examiner in charge of Central Registration Depository (CRD) records, or you may obtain the same information by connecting to the:  FINRA Web Site

 

Note: The Colorado Division of Securities does not require that Broker Dealer firms file their Annual Audited Financial Reports with our office. The Division will request such reports on an individual basis if needed. Usually, the only annual filing is the renewal process which is submitted through the CRD System.

 

Procedure for becoming Licensed as a Securities Broker/Dealer or Sales Representative in Colorado

All Licenses must be renewed annually in December of each year

 

 

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1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax