Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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IMPORTANT REGULATORY ADVISORY
 
AGENT LICENSES WILL NOT BE APPROVED OR RENEWED WITHOUT DEMONSTRATION OF LAWFUL PRESENCE IN THE UNITED STATES 
 
Effective July 20, 2011, under A.R.S. § 41-1080, each individual applicant who resides in Arizona and each non-Arizona resident who does not have an equivalent license issued by another state must present documentation of lawful presence in the United States. Additionally, all currently registered agents must provide this documentation prior to 2012 renewal.  The presented document must contain a photograph of the individual, or the individual shall also present a government-issued document that contains the individual’s photograph. Authorized documentation includes:
 
  1. An Arizona driver license issued after 1996 or an Arizona nonoperating identification license.
  2. A driver license issued by a state that verifies lawful presence in the United States.
  3. A birth certificate or delayed birth certificate issued in any state, territory, or possession of the United States.
  4. United States certificate of birth abroad.
  5. A United States passport.
  6. A foreign passport with a United States visa.
  7. An I-94 form with a photograph.
  8. A United States citizenship and immigration services employment authorization document or refugee travel document.
  9. A United States certificate of naturalization.
  10. A United States certificate of citizenship.
  11. A tribal certificate of Indian blood.
  12. A tribal or bureau of Indian affairs affidavit of birth.
 
The appropriate documentation must be submitted before an agent’s license will be granted or renewed.  Send the documentation with the agent’s CRD number to:
 
Registration and Compliance Section
Arizona Corporation Commission, Securities Division
1300 W. Washington St., 3rd Fl. 
Phoenix AZ 85007
 
or by email at SEC-AOD@azcc.gov. 
 
Please contact the Securities Division at (602) 542-0326 if you have questions. 

 

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