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    Title: Securities Broker-Dealers Firms and Agents
    Alternate Title:
    Description: Pursuant to Minn. Stats. §§ 80A.56 and 80A.57, it is unlawful for a person to transact business in Minnesota as a broker-dealer or agent unless the person is registered or exempt from registration. Minnesota Department of Commerce
    Subject: Financial Counselors/Planners
    Financial Professionals
    Securities
    Securities Professionals
    Creation Date: 2/15/2018 11:09:06 AM
    Modification Date: 5/7/2026 4:07:04 PM
    Agency Name: Commerce, Minnesota Department of
    Agency URL: https://mn.gov/commerce/
    Agency Description: The Minnesota Department of Commerce is the chief regulator for the banking, energy, insurance, real estate, securities, telecommunications industries and also operates Minnesota's Unclaimed Property.
    Agency Phone: 651-539-1500
    Agency Fax: Agency URL: https://mn.gov/commerce/
    Agency Address:
    85 7th Place East, Suite 500

    St. Paul
    MN
    55101
    Unit Name: Securities Unit
    Unit URL:
    Unit Description:
    Unit Phone: 651-539-1638
    Unit Fax: Contact person(s): securities.commerce@state.mn.us
    Unit URL:
    Audience: Hold Application URL: https://www.finra.org/registration-exams-ce/classic-crd
    Renewal URL: https://www.finra.org/registration-exams-ce/classic-crd
    Versa URL:
    Requirements:
    Rules: 2876

    Statutes: 80A

    Forms:

    Broker Dealer Firm
    Forms and Fee Requirements for Initial Registration 

    Broker Dealer Agent
    Forms and Fees Requirements for Initial Registration

    All applications for registration as a broker dealer must be filed electronically through FINRA's Central Registration Depository (CRD)


    Fees:

    Initial registration and renewal fees for broker dealer agents - $65


    Period of Issuance:

    Annual


    Length of Determination:
    Other Info:
    Activity: Securities Sales
    License Detail URL:

    Broker Dealer and their Agents

    Securities

    Minnesota Department of Commerce

       


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