Download Licensing Records
Licensing Statistics

Verify A License

Securities Home

Chapters 69W 100-900, FAC - Rules

Florida Statutes

Frequently Asked Questions

Quick Reference for Requirements

Useful Links

Canadian Dealer
This license authorizes the holder to sell or offer for sale securities issued by another person on a limited basis under certain circumstances. The firm is also required to be registered with the appropriate jurisdiction in Canada.

Issuer/Dealer
This license authorizes the holder to sell or offer for sale securities issued or proposed to be issued by the dealer.

Branch Office
This license authorizes the holder to conduct business at a location in this state other than the principal office of a licensed dealer or investment adviser.

Forms and Instructions

The documents listed below are PDF format can be viewed using the Adobe® Acrobat Reader (version 5.0 or higher), available free of charge.

Note: Printing Instructions  If you wish to print PDF forms, use the print icon in the Acrobat Reader window - NOT your browser's print icon or file - print command.

Canadian Dealer

• Requirements for Application as a Canadian Securities Dealer

• Uniform Consent to Service of Process (OFR-S-5-91)

Disclaimer: The information on this web site is provisional. For matters affecting legal rights, please refer to the printed version of the appropriate official publication.