Dealers which are FINRA members must register with OFR to do business in Florida.
The Florida Division of Securities participates in the Central Registration Depository (CRD) system for the registration of securities dealers. This online system enables dealers to register in all desired states and FINRA via a single electronic form. All dealers who are members of FINRA shall register with OFR by filing the documents and fees prescribed in Chapter 517.12(10), F.S., and Sections 69W-600.001 and 69W-600.0091, F.A.C. through the CRD.
Amendments and Maintaining Florida 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
Ch.517.051: Exempt Securities
Ch. 517.061: Exempt Transactions
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 Florida 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-600.0091, Central Registration Depository System (CRD)
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