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License Finder

SECURITIES-INVESTMENT ADVISER
License Description Securities/investment adviser is any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. "'Investment adviser' also includes financial planners and other persons who, as an integral component of other financially related services, provide the foregoing investment advisory services to others for compensation and as part of a business or who hold themselves out as providing the foregoing investment advisory services to others for compensation."
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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