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.