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License Finder

SECURITIES – BROKER – DEALER
License Description Securities/Broker-Agent is any person engaged in the business of effecting transactions in securities, buy and sell securities in investment and trading firms, or call upon businesses and individuals to sell financial services. Provide financial services, such as loan, tax, and securities counseling.
Licensing Agency
Utah Department of Commerece
Utah Division of Securities
160 East 300 South 2nd Floor, PO Box 146760
Salt Lake City, UT 84114-6760
(801) 530 6600
securities@utah.gov
Active Status Active
Active Military/Veterans Military and spouses are exempt from licensure requirements
License Type Register with licensing agency
License Updated 08/09/2023
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