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  • Utah Broker Dealer Licenses and Permits

    Utah is a land of peaks and valleys -- a place with tremendous natural beauty and a thriving business community. That may be in part due to its relatively simple, straightforward licensing processes. Businesses face little hassle to get up and running legally.

    In Utah, broker-Dealers perform securities sales and purchases for commission. These agencies – often known as brokerages – are federally regulated and monitored. However, states also regulate securities firms and may have their own licensing process, if not additional fees brokers must pay on top of their federal licensing costs.

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