Mar 6, 2024 · Search from DFPI Website or DFPI Self Service Portal: ... Search the Financial Industry Regulatory Authority (FINRA). Find a Broker-Dealer ( ...
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... background check information to be returned to CA-DFPI. Step Two. Print the three pages of the form and bring the form to a live scan location. The ...
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DFPI is dedicated to protecting, educating and empowering California consumers ; office building Industries We Regulate. Licensees · Franchises · Securities.
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