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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
Colorado requires that Canadian Broker/Dealers that are dealing with their existing clients (while those clients are temporarily residing in Colorado) file with the Division a copy of their Canadian application of the jurisdiction in which they reside. (See: Rule 51-2.1.1 and Rule 51-3.17) There is no fee for this one-time filing.