Banner: License Finder

License Finder

License Finder

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 Dealer

How to Register as a Broker Dealer Firm

Application requirements for broker-dealers are defined in Minn. Stat. § 80A.61 and Central Registration Depository (CRD)

Forms & Fees

Register & Renew

Examination

Net Capital


How to Register as a Broker Dealer Agent

Forms & Fees

Renewal

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
Continuing Education No continuing education requirement to maintain license
Criminal Record No criminal record prohibitions
Exam Third-party exam required
License Type Tied to business
License Updated 10/13/2021
Physical Requirements No physical requirements
Back to Results