LICENSING
The Licensing Section administers the licensing provisions of the Securities Act, which require that all individuals and entities who
engage in purchases, sales, or providing advice concerning securities be licensed by the Division, or properly exempted from
licensure. The Licensing Section issues licenses to securities dealers, salespersons, investment advisers, investment adviser representatives,
SEC-registered investment adviser notice filers, and investment officers in accordance with the Securities Act.
The Licensing Section investigates license applicants, administers the annual license renewal program, and maintains certain records
of and responds to public inquiries about former and current licenses. The Licensing Section also includes field examiners,
who conduct on-site examinations of investment advisoers, securities dealers, and issuers of securities to ensure compliance
with the Securities Act.
- Licensing Section Contacts
| Contact |
Phone Number |
| Examination Inquiries |
614-644-7465 |
| Licensing Fax |
614-466-1081 |
| Licensing Inquiries |
614-466-3440 |