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Licensing & Compliance For more information
Verify a License call the Division at (801) 530-6600
Tools and Resources
 
  • For any Individual and Company, search the Division's Online Database.
    Utah Securities Online Database
  • For Broker-Dealer Firms and their Agents (or Registered Representatives), use FINRA's BrokerCheck.
    FINRA BrokerCheck
  • For Investment Advisory Firms, use the SEC's Investment Adviser Public Disclosure.
    Investment Adviser Public Disclosure
  • For Investment Adviser Representatives, please contact the Division.
  • For Investment Opportunities or Companies in which you may Invest, click here.

Individuals and companies are required to license in Utah if they do securities business in the state.  Ensuring your securities professional is licensed is a critical step to protecting yourself and your investments.   Licensees are subject to regulation by the various agencies and their disciplinary records are public information.  However, verifying a license can be difficult because the individual or company may be licensed in different capacities and may be in one of several databases.

The Licensing Section is available to discuss your securities professional, their business or investment opportunity, and any public information about the professional.  For assistance, please contact the Licensing Section at (801) 530-6600.

Otherwise, you may use the tools to determine if the individual or company is licensed.