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 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
Contact Us
Phone: (608) 266-2139
Email: DFISecurities@dfi.wisconsin.gov