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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.

Investment Adviser
This license authorizes the holder to render investment advice with respect to securities, for compensation.

Federal Covered Adviser
This license authorizes the holder to render investment advice with respect to securities, for compensation. The firm is registered with the SEC as an Investment Adviser.

Associated Person
This license authorizes the holder to conduct business on behalf of a licensed dealer, investment adviser or federal covered adviser.

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.

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.