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Broker/dealer renewal licensing requirements (Non-FINRA)

A notice for renewal of non-FINRA firm and salesperson licenses is mailed to the firm at the most recent address provided to our office. This renewal package is sent out approximately 60 days prior to the date the license of the firm and its salespersons will expire, and includes forms necessary to renew the firm, and for the firm to either renew or terminate the license for each salesperson. In addition, there is a page to be completed and signed by each salesperson updating that individual's disciplinary history. Original signatures are required for the firm and salesperson renewals, as well as the salespersons' disciplinary history update.

Renewal fees are $250 for the firm and $55 for each salesperson whose license is being renewed. There is no fee for any salesperson whose license is being terminated. A check for the renewal fees should be made payable to the Department of Consumer and Business Services.

We strongly suggest that renewal applications and fees be submitted to our office no less than 30 days before the current license expires. Should the renewal applications be incomplete in any way, licensing staff will attempt to contact the firm prior to the expiration date to identify what is missing. However, no extensions of the license expiration date are given in order to submit missing forms or original signatures. The firm is responsible for ensuring that the renewal application is complete and timely submitted prior to expiration of the current license.