The files listed below are zipped files, which are downloadable to Excel spreadsheet format. The License Codes file contains an explanation of the codes used for each Registration program.
NOTE: Initial Effective Date
The earliest date of licensure for this specific entity, branch or individual person. It does not imply that this licensee has remained continuously licensed since that date. If blank, the date was prior to the beginning of the current automated system (10/91).
Securities firms registered as dealers, issuer dealers and investment advisers: Firms A-I
Securities firms registered as dealers, issuer dealers and investment advisers: Firms J-Z
Individuals registered as associated persons with issuer dealers and dealers that are not members of FINRA: Associated Persons A-Z