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Colorado-Only Licensing Procedure

 (Refer to the Fee Schedule for appropriate fee amounts)

 

  1. A Filing fee is required for a broker-dealer license and for each sales representative license. Make your check payable to the Colorado State Treasurer and submit to the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, CO 80202.

  2. File a Form BD.

  3. Agent application Form U-4 for each person who will represent the firm in Colorado as sales representative and proof that applicant has passed the Uniform Securities Agent State Law Examination (Series 63).

  • Request a Qualifications Examinations (Form U-10). Form U-10 and examination fees should be submitted to the Financial Regulatory Authority. (address on the form) and not to the Colorado Division of Securities.

  • At lease one person must be designated as primarily responsible to supervise all licensed sales representatives. The box named "Other" under Item 11 of Form U-4 should be marked. Then insert the phrase "designated supervisor."

 

Should you have any questions concerning this matter, please contact the Broker Licensing Section at 303-894-2320.

 

 

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