FINANCIAL INDUSTRY PROFESSIONALS

 

New Mexico requires certain financial professionals obtain professional licenses. The financial professionals include:

 

  • Investment Advisor,
  • Broker-Dealer,
  • Mortgage Originator,
  • Small Loan Issuer, and
  • Motor Vehicle Sales Financier.

 

Select the links on this page for the application form or registration packet for each license. Each license requires an application and fee, as well as other documentation. Sometimes the applicant must pass an examination before becoming licensed.

 

Broker-Dealers and Investment Advisors: Select the SECURITIES DIVISION FORMS AND FEES link to access application forms and additional information.

 

Small Loan Issuer: Select the APPLICATION FOR ORIGINAL SMALL LOAN LICENSE link for the application form and additional information.

 

Motor Vehicle Sales Financer: Select the APPLICATION FOR ORIGINAL MOTOR VEHICLE SALES FINANCE LICENSE link for the application form and additional information.

 

Mortgage Originator: Select the NMLS RESOURCE CENTER link to access the State Licensing Requirements web page for applications and additional information.