S T A T E  O F  V E R M O N T
Department of Banking, Insurance, Securities
& Health Care Administration (BISHCA)
89 Main St.  Montpelier, VT 05620-3101    Main Phone:  802-828-3301 
Paulette J. Thabault, Commissioner
 

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Consumer Assistance
Complaints, Publications

Investor Education
Find and/or Check Background of a Registered Investment Professional

Investment Adviser Registration Instructions/Forms

Broker Dealer
Registration Instructions/Forms
Statutes, Regulations, Orders
Small Business Resources
Securities Division  
www.vermontsecurities.info       www.vermontinvestorprotection.info
Thomas J. Candon, Deputy Commissioner
Main: 802-828-3420   Investor Protection/Education: Toll-free 1-877-550-3907
 BROKER DEALER FORMS AND INSTRUCTIONS
 


Please See First: Order No.06-43-S, Exhibit 6.2 -- Filing an Application as a Securities Broker-Dealer in Vermont

Then Download/Print Associated Forms:
(Please fill out and submit signed forms in hard copy.) 

Consent to Service of Process

Tax Certification for Broker-Dealer Firm

Affidavit of Broker-Dealer Activity

Vermont Securities Sales Representative Tax Certification Form