Series 24: Form BD (“BD” = Broker-Dealer)

Taken from our Series 24 Online Guide

Form BD (“BD” = Broker-Dealer)

An application for registration (Form BD) must be filed with both FINRA and the SEC. The application identifies the type and nature of the applicant’s business and in what states it will operate. If other businesses provide services to the applicant or if the applicant will introduce customers to other broker-dealers, those businesses must be identified. The applicant must disclose on the form:

• Anyone having a contro

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Danny Klingler, Kestra Financial, Austin, Texas

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