Broker-Dealer Name Reservation Request Form
Submit your request to reserve a broker-dealer business name. Please complete all required fields for prompt processing.
Applicant Full Name
*
First Name
Last Name
Applicant Email Address
*
example@example.com
Applicant Phone Number
Please enter a valid phone number.
Format: (000) 000-0000.
Proposed Broker-Dealer Business Name
*
Alternative Business Name(s) (if any)
Type of Business Entity
*
Please Select
Corporation
Limited Liability Company (LLC)
Partnership
Sole Proprietorship
Other
Jurisdiction/State for Reservation
*
Please Select
Alabama
California
New York
Texas
Florida
Other
Intended Business Activities
*
Securities Brokerage
Investment Advisory
Market Making
Underwriting
Proprietary Trading
Other
Reason for Name Reservation
*
Additional Comments or Information (optional)
Submit Request
Should be Empty: