Licensing for Firms and Individuals

Investment Advisers & Investment Adviser Representatives

Guidelines for IA & IAR licensing with Colorado Division of Securities.

Broker-Dealers & Sales Representatives

Guidelines for BD & sales representatives with Colorado Division of Securities.

Examinations Survey

Questionnaire for licensees post-examination by Division of Securities staff.

Fees

Required Colorado fees.

Forms

Required forms.

Additional Resources

Find federal regulatory resources and links to other useful content.