License Record Request Form
Information contained in our records will be provided to you via Regular United
States mail or it will be transmitted electronically if an email address if provided.
In order to provide an accurate response about the person or entity for whom you
are seeking information, the Division needs as much information about the person
or firm as possible. For example, if you are seeking information about whether John
Doe has a securities salesperson's license in Ohio, we need more than "John Doe"
and "Ohio" because there are hundreds of John Doe's in Ohio.
Therefore, please state the entire legal name, including middle initial of the natural
person on whom you are seeking information, OR the complete legal name of the
entity on which you are seeking information.
(please check any/all that apply)
Please note any other questions or comments relevant to this Record Request: