Verify a License
Individuals and companies are required to license in Utah if they do securities business in the state. Ensuring your securities professional holds the appropriate license 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. You may use the search tools to determine if the individual or company holds the appropriate license. 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.
Tools to Verify a License
Utah Division of Securities Online Database
For any Individual and Company, search the Division's Online Database
For Broker-Dealer Firms and their Agents (or Registered Representatives), use FINRA's BrokerCheck
U.S. Securities and Exchange Commission IAPD
For Investment Advisory Firms, use the SEC's Investment Adviser Public Disclosure
For Investment Adviser Representatives, please contact the Division
For Company Filings and Person Lookup, search the SEC Edgar Database.