Under the Veterans License Fee Waiver Program established by Wisconsin Act 209 (effective July 1, 2012), veterans who apply for an initial registration as a broker-dealer agent or investment adviser representative may receive a one-time waiver of the registration fee. The fee waiver does not apply to registration renewals.
Since the registration of broker-dealer agents and investment adviser representatives is processed through the Financial Industry Regulatory Authority's (FINRA) Central Registration Depository (CRD), you or your firm will need to initially pay the applicable registration fee to CRD and then request a refund from the Division of Securities. To request a refund, please send an email to DFISecurities@dfi.wisconsin.gov with the CRD transaction number, the transaction date, your CRD number, and your voucher code received from the Department of Veterans Affairs.
Please direct any questions regarding your registration to the Securities Examiner of the Day at 608-266-2139.
Go to Veterans License Fee Waiver for more information.
Phone: (608) 266-2139