Securities Licensing, Compliance and Examinations
The Securities Division of Licensing, Compliance and Examinations maintains the responsibility for the review of applications filed by those who wish to conduct a securities business in Pennsylvania. Once registered, the division also monitors compliance with all post-registration regulations as well as examination of broker-dealer and investment adviser offices and investigations of possible violations of law. All applications for registration in Pennsylvania must be filed electronically through either the Central Registration Depository (CRD) or the Investment Adviser Registration Depository (IARD). With this system, which is maintained by the Financial Industry Regulatory Authority (FINRA) applicants are able to complete one uniform application (on-line) and seek registration in any state or federal jurisdiction.
Please Note: the address for securities-related mail and deliveries has changed to 17 North 2nd Street, Suite 1300, Harrisburg PA 17101-2290.
Pennsylvania licensing fees for all registrants and applicants are:
• Broker-Dealer Application & Renewal $525.00
• Securities Agent Initial & Transfer $125.00 Renewal $110.00
• Investment Adviser Application and Renewal $375.00
• Investment Adviser Representative Initial & Transfer $125.00 Renewal $110.00
• Notice Filer Application and Renewal $350.00
For licensing, examination or compliance issues or questions, call 717.783.4211.
Securities Registered for Sale in Pennsylvania
FINRA Quarterly PA Registrant Reports