LICENSING
The Licensing Section administers the licensing provisions of the Securities Act,
which require that all individuals and entities who engage in purchases, sales,
or providing advice concerning securities be licensed by the Division, or properly
exempted from licensure. The Licensing Section issues licenses to securities dealers,
salespersons, investment advisers, investment adviser representatives, SEC-registered
investment adviser notice filers, and investment officers in accordance with the
Securities Act.
The Licensing Section investigates license applicants, administers the annual license
renewal program, and maintains certain records of and responds to public inquiries
about former and current licenses. The Licensing Section also includes field examiners,
who conduct on-site examinations of investment advisoers, securities dealers, and
issuers of securities to ensure compliance with the Securities Act.
- Licensing Section Contacts
|
Contact |
Phone Number |
|
Examination Inquiries |
614-466-3440 |
|
Licensing Fax |
614-466-1081 |
|
Licensing Inquiries |
614-644-7465 |