Registration of Professional Forms & Applications

​​​Form DOS100  Broker-Dealer Packet - Includes Form BDAA plus instructions.

Form DOSBDAA - Wisconsin Broker-Dealer Activity of Applicant

Form BD​ - Uniform Application for Broker-Dealer Registration

Form BDW - Uniform Request for Broker-Dealer Withdrawal

Form U4​ - Uniform Application for Securities Industry Registration or Transfer  

Form U5 - Uniform Termination Notice for Securities Industry Registration

Form DOSASIM - Securites Agent Simultaneous Registration Disclosure Application  

Form DOS200 Investment Adviser Packet -  All of the following three forms plus instructions

Form DOSIAAA - Wisconsin Investment Advisory Activity of Applicant

Form DOSIADS - Investment Adviser Designation of Supervisor

Form DOSIAFC​ - Financial Certification

Form ADV-H - Application for Temporary or Continuing Hardship Exemption

Form ADV-E - Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser  

Form ADV-W​ - Notice of Withdrawal from Registation as an Investment Adviser

Form DOS300 - Wisconsin Agent for Issuer U4 Supplemental Information

Form DOS301​ - Sample Supervisory Undertaking for Issuer with Registered Securities Agents

Form DOS700​ - Request for Registrant List 

Contact Us

Phone: (608) 266-2139