Download Licensing Records
Licensing Statistics

Public License Search

Securities Home

Chapters 69W 100-900, FAC - Rules

Florida Statutes

Frequently Asked Questions

Quick Reference for Requirements

Useful Links

Broker/Dealer
This license authorizes the holder to sell or offer for sale securities issued by another person. The firm is also registered with the Securities and Exchange Commission (SEC) as a securities dealer and is usually a member of the National Association of Securities Dealers (NASD) or another securities self-regulatory organization.

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.

Broker/Dealer

• Broker/Dealer Requirements for Application and to Maintain Registration

• Broker/Dealer Financial Statement Cover Page

• Associated Person of a Broker/Dealer Application Requirements

• Form BD (Uniform Application for Broker/Dealer Registration)   

• Form BD-W  (Uniform Request for Broker/Dealer Withdrawal)

• Form U-4 (Uniform Application for Securities Industry Registration or Transfer)

• Form U-5 (Uniform Termination Notice for Securities Industry Registration)

• Guidelines for Requesting Change of Control  

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.