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Securities Broker-Dealers Firms and Agents
License Description Pursuant to Minn. Stats. §§ 80A.56 and 80A.57, 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 Review: Broker Dealers Broker Dealers and their Agents How to Register as a Broker Dealer Firm Application requirements for broker-dealers are defined in Minn. Stat.§ 80A.61 and Minn. Rule 2876.4062. All applications for registration as a broker dealer must be filed electronically through the Central Registration Depository (CRD) Forms and Fee Requirements for Initial Registration Registration Amendments & Renewals Experience Requirement & Experience Requirements Net Capital Requirements How to Register as a Broker Dealer Agent Forms and Fees Requirements for Initial Registration Renewal of Registration Required Examinations None
Licensing Agency
Minnesota Department of Commerce
Licensing Unit
85 7th Place East, Suite 600
St. Paul, MN 55101-3165
(651) 296 6319
licensing@state.mn.us
Active Status Active
License Type Register with licensing agency
License Updated 05/30/2024

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