FINRA members and Investment Advisers (State Registered)
The Florida Division of Securities participates in the Central Registration Depository (CRD) system for the registration of FINRA member dealer and investment adviser branch offices. All FINRA member dealers and investment advisers shall file the Form BR, Uniform Branch Office Registration Form, documents and fees prescribed in Chapter 517.12(10), F.S., and Sections 69W-600.004, F.A.C., through the CRD. To obtain more information about how to make branch office filings through the CRD system, contact FINRA at (301) 950-6500 or their website http://www.finra.org/Industry/Compliance/.
Non-FINRA members and Issuer Dealers
The Florida Division of Securities utilizes the Regulatory Enforcement and Licensing System (REAL)for the registration of Issuer Dealer and Non-FINRA member branch offices. This online system enables the Form BR, Uniform Branch Office Registration Form, documents and fees to be submitted electronically. Additional filing requirements shall be submitted as prescribed in Chapter 517.12(10), F.S., and Rule 69W-600.004, F.A.C.
All paper submissions for branch office applications received by mail will be returned along with instructions to file electronically.
Canadian Dealers and Federal Covered Advisers
Canadian dealers and federal covered advisers are NOT required to register their branch office locations with OFR.
To apply, renew or manage your registration, click here.
For step-by-step instructions, click here.
Current Uniform Registration Forms
Branch Office Amendments and Maintaining Registration
Tel: (850) 410-9893
Fax: (850) 410-9748
850-Its-Your-Money (850-487-9687), Option 2
Division Key Personnel
Chapter 517: Securities and Investor Protection Act
Important Message: The links below do not represent the entire body of regulations governing compliance with Florida law; they are merely to assist applicants and registrants with filing requirements. Refer to Chapter 517, F.S., or contact the Office for more information.
69W-200.001, Definitions
69W-301.002, Processing of Applications
69W-600.004, Registration of Issuer/Dealers, Principals and Branch Offices
69W-600.0091, Central Depository System (CRD)
69W-600.0093, Investment Adviser Registration Depository System (IARD)