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SEC/FINRA Licensing Procedure

 

The following information must be filed with FINRA/CRD electronically by the applying broker/dealer


(Refer to the
Fee Schedule for appropriate fee amounts)

 

For a Broker-Dealer License:

  1. The appropriate filing fee and;

  2. An amended Form BD designating Colorado as the recipient of the filing.

For a Sales Representative License:

  1. The appropriate filing fee and;

  2. Form U-4 designating Colorado as the recipient of the filing.

  3. All amendment filing or requests for withdrawal shall also be filed with the FINRA/CRD.

 

Please contact the Broker-Dealer Regulation Section of the Colorado Division of Securities with questions at 303-894-2320.

 

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Contact

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