Broker-Dealers & Agents

Louisiana Domiciled Broker/Dealer

  • $250 registration fee, payable through the Central Registration Depository (CRD)
  • Form BD filed through CRD
  • Hard copies of the following documents must be submitted to this office:
    • Current Audited Financial Statements
    • Focus Report
  • Audited financial statements are due in this office annually, within 90 days of the broker-dealer’s fiscal year-end

Out-of-State Broker/Dealer

  • $250 registration fee, payable through CRD
  • Form BD filed through CRD
  • Audited financial statements and Focus Report are not required to be filed with this Office

Agent

  • Form U-4 filed through CRD
  • $60 filing fee, payable through CRD

Notes

  • Dual registration is not permitted, unless the firms are affiliated.  Agent must be canceled by current Broker-Dealer before new registration can be approved.
  • All Broker-Dealer and agent registrations expire on December 31st of each year, if not renewed.  Renewals are through CRD.
  • Annual firm renewal fee is $250, plus $60 per agent.
  • The commissioner may require such additional information as he may deem necessary to establish whether the applicant should be registered.

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