Get Randee Fenner 2017-2025

This guide provides clear and supportive instructions on how to effectively fill out the Randee Fenner application form online. Whether you are a broker-dealer seeking certification or recertification, this comprehensive walkthrough will assist you in navigating each section of the form.

Follow the steps to successfully complete the Randee Fenner form.

1. Click the ‘Get Form’ button to access the application and open it in your preferred online format.
2. Begin by entering the name of the applicant and their CRD number in the specified fields.
3. Indicate if the applicant is a primary reporting dealer by selecting 'IS' or 'IS NOT.' If applicable, attach the proof of status such as a letter or certificate.
4. Provide the office address of the applicant's principal office in the designated section.
5. For applicants not classified as primary reporting dealers, include the address of the Utah office and the name and CRD number of the resident principal.
6. Mark the registration status with the Utah Securities Division for both the applicant and any resident principal or agents, and ensure to check the boxes accordingly.
7. Attach the required corporate authority documents, including a Certificate of Good Standing and applicable certificates for applicants not incorporated in Utah.
8. For those not classified as primary reporting dealers, include copies of financial statements that adhere to the requirements outlined in the instructions.
9. Attach proof of registration under the Government Securities Act of 1986 if applicable.
10. Gather all account documents required, ensuring they comply with the stated requirements regarding dispute resolution.
11. Include a signed affidavit of knowledge related to the Money Management Act by the resident principal and relevant agents.
12. Enclose a non-refundable fee of $500, clearly marked for the Utah Securities Division.
13. Conclude by executing the form with the applicant's name, date, and signature. Ensure all information is accurate.
14. After completing the form, review it for completeness and accuracy, then save changes, download, print, or share as needed.

Start completing your Randee Fenner application online today to ensure your certification as a broker-dealer.