Securities: Licensing

Licensing Forms

These four forms may take 10 minutes or more (each) to download.
  Form BD (PDF: external link)
  Form BDW (PDF: external link)
  Form U-4 (PDF: external link)
  Form U-5 (PDF: external link)

  BD Packet (PDF: 45 KB / 3 pages) -- Includes Form BDAA plus instructions.
  Form BDAA (PDF: 43 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant

  IA Packet (PDF: 105 KB / 10 pages) -- All of the following four forms plus instructions.
  Form IAAA (PDF: 37 KB / 1 page) -- Wisconsin Investment Advisory Activity of Applicant
  Form IADS (PDF: 33 KB / 1 page) -- Investment Adviser Designation of Supervisor
  Form IAFC (PDF: 29 KB / 1 page) -- Financial Certification
  Form IAUSR (PDF: 39 KB / 2 pages) -- Investment Adviser Understanding of Supervisor Responsibilities Regarding Wisconsin Uniform Securities Law and Administrative Code

  Form ASIM (PDF: 28 KB / 2 pages) -- Securites Agent Simultaneous Licensure Disclosure Application

Form ADV (  Part 1 (PDF: external link)   Part 2 (PDF: external link))
  Schedule A to H of Form ADV (PDF: external link)
  Schedule I of Form ADV (PDF: external link)
  Form ADV-E (PDF: external link)
  Form ADV-W (PDF external link)

  2007 Agent for Issuer Renewal Form (PDF 305 KB / 4 pages)