Broker-Dealer Name Changes

  • lighthouse
  •  

    If any broker-dealer changes its name, it must file for an amended license.  If the SEC and the FINRA are treating the change as an amendment (the CRD and SEC numbers assigned to the company will not change), then the State of New Hampshire will treat the change as an amendment to the broker-dealer license.  In order to effect the amendment, please submit the following directly to the Bureau: 

      1.  Amendment to the Articles of Incorporation which effected the name change (or other similar documents filed with the state of organization, such as amended LP, LLC or LLP documents).

      2.  $100 amendment fee for the firm, and $25 amendment fee for each agent licensed in the state of New Hampshire on the date that the name change filing was made with the state of organization.  Include a list of agents and their CRD numbers.

      3.  Form U-2 in the amended name.

      4.  Form U-2a if the licensee is a corporation or the person signing the U-2 represents a corporate general partner or member.

    Upon receipt of the above, by the Bureau, an amended license will be issued. 

    NOTE:  The above filing requirements are to be made with the Bureau of Securities Regulation and not through Web CRD.  Associated fees should be paid directly to the Bureau.  Checks may be payable to the "State of New Hampshire".