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1. dfpi.ca.gov › regulated-industries › broker-dealers-and-investment-advisersCheck out your Investment Adviser - DFPI - The Department of...

   dfpi.ca.gov › regulated-industries › broker-dealers-and-investment-advisers

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   5 gru 2001 · When checking out your investment adviser, always view the investment adviser’s “Registration Status” on Form ADV. The following is a summary of the “Registration Status” you may find for both State and SEC registered investment advisers.

2. dfpi.ca.gov › regulated-industries › broker-dealers-and-investment-advisersBroker-Dealers and Investment Advisers - DFPI

   dfpi.ca.gov › regulated-industries › broker-dealers-and-investment-advisers

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   10/21/2024 – 2025 Annual Renewals Reminder2025 Renewal Program Calendar for Broker-Dealers and Investment Advisers. Monday, November 11, 2024 – PRELIMINARY Renewal Statements are available through E-Bill on FINRA.; Monday, November 25, 2024 – DFPI Reminder Email will be sent to all licensees to renew their license for the calendar year 2025. . Licensees should ensure they have an active ...

3. brokercheck.finra.orgBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org

   BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

4. dfpi.ca.gov › regulated-industries › broker-dealers-and-investment-advisersState Licensed Investment Adviser - DFPI - The Department of...

   dfpi.ca.gov › regulated-industries › broker-dealers-and-investment-advisers

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   Any person who wants to become an investment adviser in California may apply for a certificate by filing an application. The forms and instructions for filing an application are found on our Corporate Securities Law of 1968 forms page.

5. docqnet.dfpi.ca.gov › onlinefilingsavailableOnline Filings Available - California

   docqnet.dfpi.ca.gov › onlinefilingsavailable

   To submit an application or file a notice, please log in or register for an account now.

6. www.ca.gov › departments › 209Department of Financial Protection and Innovation (DFPI) | CA.gov

   www.ca.gov › departments › 209

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   The Department oversees the operations of state-licensed financial institutions, including banks, credit unions, money transmitters, issuers of payment instruments and travelers checks, and premium finance companies.

7. mortgage.nationwidelicensingsystem.org › slr › PublishedStateDocumentsCA-DFPI California Financing Law License New Application...

   mortgage.nationwidelicensingsystem.org › slr › PublishedStateDocuments

   19 gru 2023 · Submission of Company Form (MU1): Complete and submit the Company Form (MU1) in NMLS. This form serves as the application for the license.