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

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.

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

• Branch Office Registration Form

• Branch Office Registration Instructions

   

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.