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Before You Invest For more information
Verify a License call the Division at (801) 530-6600
Tools and Resources
 

We are here to help you!
Call the Division at (801) 530-6600 with any questions or for the most up-to-date and complete information.

Online Tools


For Broker-Dealer Firms and their Agents (or Registered
Representatives), use FINRA's BrokerCheck.

FINRA BrokerCheck

For Investment Advisers and their Representatives,
use the SEC's IAPD system.

FINRA BrokerCheck

For any Individual and/or Company, search
the Division's Online Database.

Utah Securities Online Database

Individuals and companies are required to license in Utah if they do securities business in the state.  Ensuring your securities professional is licensed 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.  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.

Otherwise, you may use the online tools to determine if the individual or company is licensed.