License: Securities Broker-Dealers Firms and Agents

Minnesota Department of Commerce Licensing Unit external site

85 7th Place East, Suite 600

St. Paul, MN 55101-3165

(651) 296-6319

Pursuant to <a href="https://www.revisor.mn.gov/statutes/cite/80A.56" xmlns="http://www.w3.org/1999/xhtml">Minn. Stats. §§ 80A.56</a> and <a href="https://www.revisor.mn.gov/statutes/cite/80A.57" xmlns="http://www.w3.org/1999/xhtml">80A.57</a>, it is unlawful for a person to transact business in Minnesota as a broker-dealer or agent unless the person is registered or exempt from registration. Minnesota Department of Commerce <div style="font-family: Arial; font-size: 10pt;" xmlns="http://www.w3.org/1999/xhtml"> <p style="font-size: 10pt;"><strong><br /> Review <a href="https://mn.gov/commerce/industries/securities/broker-dealer/">Broker Dealer</a></strong></p> <p><strong>How to Register as a Broker Dealer Firm</strong></p> <p>Application requirements for broker-dealers are defined in <a href="https://www.revisor.mn.gov/statutes/cite/80A.61">Minn. Stat. § 80A.61</a> and <a href="https://www.finra.org/registration-exams-ce/classic-crd">Central Registration Depository (CRD)</a></p> <p><strong><a href="https://mn.gov/commerce/industries/securities/broker-dealer/#1">Forms & Fees</a></strong></p> <p><strong><a href="https://mn.gov/commerce/industries/securities/broker-dealer/#2">Register & Renew</a></strong></p> <p><strong><a href="https://mn.gov/commerce/industries/securities/broker-dealer/#3">Examination</a></strong></p> <p style=""><a href="https://mn.gov/commerce/industries/securities/broker-dealer/#4" style="font-weight: bold;">Net Capital</a> <br /> <br /> <strong><br /> How to Register as a Broker Dealer Agent <br /></strong> <strong><br /> <a href="https://mn.gov/commerce/industries/securities/broker-dealer/#6">Forms & Fees</a></strong></p> <p><strong><a href="https://mn.gov/commerce/industries/securities/broker-dealer/#7">Renewal</a></strong></p> <p><strong><a href="https://mn.gov/commerce/industries/securities/broker-dealer/#8">Examinations</a></strong></p> </div> None