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Application: Submit a Form U-4 electronically through FINRA's nationwide database known as the Central Registration Depository (CRD) System.
Every IAR registered in Michigan will be subject to CE requirements. The mandatory CE program will apply to all registered IARs of both state-registered and federal covered investment advisers. In the event an IAR is registered in more than one state, the IAR must comply with the requirements of each state securities regulator, which may vary.
BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information? Browse the list of brokers barred by FINRA.
Individuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information via the Financial Professional Gateway (FinPro).
Manage Your Securities Registration Info. FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
FINRA GATEWAY. Firm compliance professionals can access filings and requests, run reports and submit support tickets.
The following is a step-by-step guide describing how to become an IAR or establish an IA firm in Michigan registered at either the state level with the Michigan Department of Licensing and Regulatory Affairs or at the federal level with the Securities & Exchange Commission (SEC).
