Forms and Applications - Broker-Dealer, Investment Advisers

BROKER-DEALERS

Note: Throughout our web pages, reference may be made to the Rules as found in Title 10, Chapter 3, California Code of Regulations (“CCR”). For information concerning the CCR and accessing sections of the CCR referenced on these web pages, click here.

Any person who intends to become a broker-dealer in California may apply for a broker-dealer certificate by filing an application. If you are a member of the Financial Industry Regulatory Authority ("FINRA"), the application should be filed directly with the Central Registration Depository ("CRD"). If you are not a member of FINRA , the application should be filed directly with the Department of Business Oversight. Please review the Information to Assist Persons Applying for a Broker-Dealer Certificate and Instructions for Completing and Filing Form BD in California by Broker-Dealers Not Filing by Notification. Once you have reviewed this information and have any questions concerning the application process, please feel free to contact us at 1-866-275-2677.

Form Number Form Title Revised Format
250.61 Statement of Citizenship, Alienage, and Immigration Status for Application of Department of Business Oversight License or Certificate 08-13 PDF
260.165 Consent to Service of Process 07-13 PDF
260.241.2(b) Verification Form Pursuant to California Code of Regulations Rule 260.241.2(B) 07-13 PDF
ADM 510 Index of Fees, Fines and Penalties 06-13 PDF
BC8018BD Request for Live Scan Services 04-1 PDF
DBO 25206.1 Statement of Information for Finder   PDF
DBO 260.211.1 Application by Notification Pursuant to Corporations Code Section 25211(b) for Broker-Dealer Certificate 11-13 PDF
DBO QR 500.261 Customer Authorization of Disclosure of Financial Records 11-13 PDF
Form BD

Uniform Application for Broker-Dealer Registration

01-08 PDF
Form BDW

Uniform Request for Broker-Dealer Withdrawal

04-07 PDF
Form U4 Uniform Application for Securities Industry Regulation or Transfer 10-05 PDF
Form U5

Uniform Termination Notice for Securities Industry Registration

10-05 PDF
  Electronic Versions of Broker-Dealer forms available from the FINRA    

 


SEC REGISTERED INVESTMENT ADVISER

Any person registered with the Securities and Exchange Commission ("SEC") as an investment adviser and who conducts business in California for more than five clients should file a notice with the Department of Business Oversight. This notice is to be filed within thirty-(30) days of conducting business in California. Please review the Information to Assist Persons Making a Notice Filing for instructions and additional information in regards to making a notice filing in California.

Note: Reference may be made to the Rules as found in Title 10, Chapter 3, California Code of Regulations (“CCR”).  For information concerning the CCR and accessing sections of the CCR referenced on these web pages, click here.

 


CALIFORNIA LICENSED INVESTMENT ADVISER

Note: Throughout our web pages below, reference may be made to the Rules as found in Title 10, Chapter 3, California Code of Regulations (“CCR”).  For information concerning the CCR and accessing sections of the CCR referenced on these web pages, click here.       

Any person who wants to become an investment adviser in California may apply for an investment adviser certificate by filing an application. The forms and instructions for filing an application are found below. To begin, please review the Information to Assist Persons Applying for an Investment Adviser Certificate and Instructions for Completing and Filing Application for Investment Adviser Certificate on Form ADV. Once you have this information and have any questions concerning the application process, please feel free to contact us at 1-866-275-2677.