Applications for broker/dealer
registration should be filed with the Web CRD
system. A Form
BD and $250.00 filing fee is required to make such application.
THE FOLLOWING DOCUMENTATION SHOULD BE FILED DIRECTLY WITH
THE ALABAMA SECURITIES COMMISSION:
statement from the firm with regard to whether or not it will have custody
customer funds and/or discretionary accounts in Alabama.
statement or undertaking detailing if any offers and/or sales have been
made to Alabama residents prior to application for registration.