Welcome to the Division of Securities

What We Do

The Division of Securities regulates the sale of securities in, to or from Florida by firms (securities dealers, issuer dealers and investment advisers), branch offices and individuals affiliated with these firms to determine compliance with Florida law.

Canadian Dealers:

Associated Person, Branch Office, Firm

Dealer-FINRA Member:

Associated Person, Branch Office, Firm

Dealer-Non FINRA Member:

Associated Person, Branch Office, Firm

Investment Advisers:

Federal Covered Advisers:

Associated Person, Branch Office, Firm

State Registered Advisers:

Associated Person, Branch Office, Firm
Announcment for state-registered IA Branch Offices

Issuer Dealers:

Associated Person, Branch Office, Firm

Securities Offerings:

Intra state or Merit Review Registration, Notification Registration

Bureau of Registration: processes and evaluates applications for firms and individuals seeking registration to conduct business in Florida.

Bureau of Enforcement: conducts examinations of registered securities dealers, investment advisers, branch offices and associated persons to determine compliance with the Securities and Investor Protection Act.

Disciplinary Guidelines per Chapter 517.1611(1), Florida Statutes.

Frequently asked questions for the Division of Securities.

Who We Are

Meet the Division of Securities Management Team.

Statutes and Rules We Regulate

Chapter 517, Florida Statutes - Securities and Investor Protection Act
Chapter 69W-100 through 69W-1000, Florida Administrative Code - Florida Securities Rules