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 tools to determine if the individual or company is licensed.