Applications for initial registration or renewal registration by a broker-dealer that is a FINRA member will not be deemed complete until the required fee and all required submissions have been filed with the Vermont Securities Division (the"Division") and the Central Registration Depository (the “CRD”), including any information or documentation requested by the Division after an initial submission. Failure to complete the application or renewal procedures as set forth below may result in termination of an application or registration. Fees will not be refunded or credited and new fees will be required upon refiling.
*Please note: A broker-dealer that is a FINRA member firm is not required to file annual audited financial statements with the Division, unless requested by the Division.
All applications must include:
Questions concerning a registration or the registration process may be directed to 802-828-3420