Division of Securities DORA State of Colorado Division of Securities

Licensing Procedure for SEC/FINRA Securities Broker/Dealers

 

The following information must be filed with the FINRA/CRD by the applying broker/dealer:
(Refer to the Fee Schedule for appropriate fee amounts)

For a Broker-Dealer License:

  1. The appropriate filing fee and;
  2. An amended Form BD designating Colorado as the recipient of the filing.

 

For a Sales Representative License:

  1. The appropriate filing fee and;
  2. Form U-4 designating Colorado as the recipient of the filing.

All amendment filing or requests for withdrawal shall also be filed with the FINRA/CRD.

Please contact the Broker-Dealer Regulation Section of the Colorado Division of Securities with questions at 303-894-2320.

 

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