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How can I tell if a securities firm or a particular individual in a securities firm has a DC license?

April 26, 2017dc firm individual license particular securities

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How can I tell if a securities firm or a particular individual in a securities firm has a DC license?

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You can call the Licensing Division of the Securities Bureau at (202) 727-8000 to find out if a broker-dealer or investment adviser firm, or an individual at either type of firms, is licensed with the Securities Bureau.