Search results
The Division licenses broker-dealers, securities salespersons, investment advisers, investment adviser representatives and investment officers. The Division also registers securities offered for sale to Ohioans.
The Division of Securities, within the Ohio Department of Commerce, administers and enforces the Ohio Securities Act. The Division licenses broker-dealers, securities salespersons, investment advisers, and investment adviser representatives. The Division also registers securities offered for sale to Ohioans.
Ohio Investment Advisers with $100 million or fewer assets under management must be licensed and regulated by the Division. Investment advisers often employ investment adviser representatives, the people who actually work with clients.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
Before becoming registered in Ohio, a broker-dealer firm registered in the state must sponsor you. Once you are sponsored, your broker-dealer firm will assist you with registering with the Financial Industry Regulatory Authority (FINRA) Central Registration Depository (CRD).
On September 30, 2021, new laws and rules governing Ohio licensees take effect. Please review the following highlighting some of the key changes impacting investment advisers.
26 cze 2024 · Every state requires a Series 63 license for financial advisors to conduct business within its borders. This is an exam you must pass in addition to the Series 7 or Series 6.
