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Maine.gov> PFR Home > Securities Home Page > Branch Office Licensing

Branch Office Licensing

Pursuant to 32 M.R.S.A. 16410(1)(F), a "branch office" means any office or a broker-dealer or investment adviser located in this State, other than the principal place of business of the broker-dealer or investment adviser. Only one branch office fee is due if an office is a branch office of both a broker-dealer and an investment adviser affiliated by direct or indirect common control.

For every Maine branch office as defined in 32 M.R.S.A. 16410(1)(F):

  • Firms must file with the Office by submitting a Form BR to the CRD.
  • Fees deducted from firms account via CRD/IARD:
    1. $50 Initial registration
    2. $50 Dual branch registration (BD and IA)
    3. $30 Annual renewal
    4. $30 Dual branch renewal (BD and IA)

     

    Questions regarding branch offices should be directed to Billie-Jo Pyska at (207) 624-8551.

    Copies of Form BR and Form BR Instructions are available in PDF format.

     

    Last Updated: October 15, 2018