The Florida Division of Securities participates in the Central Registration Depository (CRD) system for registration of associated persons for FINRA member dealers, investment advisers (state registered) and federal covered advisers. All FINRA member dealers, investment advisers (state registered) and federal covered advisers requesting associated person registration shall file the Form U-4, Uniform Application for Securities Industry Registration or Transfer 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 associated person filings through the CRD system, contact FINRA at (301) 950-6500 or visit their website http://www.finra.org/Industry/Compliance/.
The Florida Division of Securities utilizes the Regulatory Enforcement and Licensing (REAL) system for registration of associated persons for Issuer Dealers and Non-FINRA member dealers. This online system enables the Form U-4, Uniform Application for Securities Industry Registration or Transfer form, documents and fees to be submitted electronically. Additional filing requirements shall submitted as prescribed in Chapter 517.12(10), F.S., and Rule 69W-600.002, F.A.C.
All paper applications for associated person registration received by mail will be returned along with instructions to file electronically. Required fingerprint cards must be mailed directly to the OFR at the address identified in the Contact Information section.
Canadian dealers are NOT required to register their associated persons in Florida.
To apply, renew or manage your registration, click here.
Tel: (850) 410-9893
Fax: (850) 410-9748
850-Its-Your-Money (850-487-9687), Option 1
Division Key Personnel
Current Uniform Registration Forms
Associated Person Amendments and Maintaining Florida Registration
Chapter 517: Securities and Investor Protection Act
Important Message: This information is not a complete summary of the rules and regulations governing compliance with Florida law. It is 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 - Please refer to section (9)(a) for possible branch registration exemptions for state covered firms
69W-301.002, Processing of Applications
69W-600.002, Financial Statements and Reports
69W-600.0021, Effect of Law Enforcement Records on Applications for Registration as Associated Persons
69W-600.004, Registration of Issuer/Dealers, Principals and Branch Offices
69W-600.005, Examinations / Qualifications
69W-600.006, Fingerprint Requirements
69W-600.0091, Central Registration Depository System (CRD)
69W-600.0092, Investment Adviser Registration Depository for Federal Covered Advisers
69W-600.0093, Investment Adviser Registration Depository System (IARD)