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Department of Insurance, Securities and Banking

License FAQs-s

Are there specific requirements that are needed to attain a license?

Yes, there are specific requirements for the Securities license. Investment Adviser, Investment Adviser representative, Broker-dealer, Broker-dealer Agents, and Canadian Broker-Dealers have different requirements to get a license or register. For detailed registration information, visit the Licensing and Registration Requirements in the Compliance Requirements section of Securities at

How can I print my license?

For securities, once you file electronically through the CRD/IARD system, FINRA will generate an ID as your CRD/IARD #. Use the CRD number to see the status of your license /registration under “Registration Summary”, print from there.