Home/LicensesLicensesBroker-DealerBroker-Dealers Broker-Dealer Agents Canadian Broker-DealersInvestment AdviserInvestment Advisers Investment Adviser Representatives Federal Covered Advisers Filing Form ADV Utah Licensing Guide CRD / IARD Do I need a License?Questions to Ask Issuer-Agents Certified Dealers Solicitors or Finders Verify a License Money Management Act Licensing Exams Tools & ResourcesForms Fees Utah Uniform Securities Act Online Database