The Florida Division of Securities utilizes the Regulatory Enforcement and Licensing system (REAL) for the registration of securities dealers that are not members of FINRA. This online system enables non-FINRA member dealers to submit their application form and fees electronically. Additional filing requirements shall submitted as prescribed in Chapter 517.12(10), F.S., and Rule 69W-600.001, F.A.C.
All paper submissions for applications received by mail will be returned along with instructions to file electronically. Required fingerprint cards for persons on Schedule A and B must be mailed directly to the OFR at the address identified in the Contact Information section.
To apply, renew or manage your registration, click here.
For step-by-step instructions, click here.
Amendments and Maintaining Registration
Successor Registration Requirements
Current Uniform Registration Forms
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-301.002, Processing of Applications
69W-600.001, Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser
69W-600.0011, Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser
69W-600.004, Registration of Issuer/Dealers, Principals and Branch Offices
69W-600.006, Fingerprint Requirements
69W-600.010, Notice of Civil Criminal or Administrative Action
69W-600.015, Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
69W-600.016, Net Capital Requirements for Dealers and Investment Advisers