Kristin K Mayes
Commissioner 		William Mundell
Commissioner 		Mike Gleason
Chairman 		Jeff Hatch-Miller
Commissioner 		Gary Pierce
Commissioner

Arizona Corporation Commission
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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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Dealer And Salesman Registration
 
 
The Division also monitors the conduct of dealers and salespersons; investigates possible violations of the Securities Act of Arizona; and where the evidence warrants, brings administrative, civil or criminal enforcement actions.
 
To check to see whether a dealer or salesman is registered in Arizona or has any disciplinary history, please contact the Investigator on Duty at (602) 542-0662.
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Information For Applicants
Includes registration requirements for FINRA member dealers, non-FINRA dealers, issuer dealers and information regarding maintaining registration (renewal requirements and filing of financial statements), name changes, and reorganizations.
  
Includes registration and renewal requirements for FINRA Member salesmen, non-FINRA member salesmen, and issuer-dealer salesmen.
 
 
 
Link to FINRA 
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