Occupational/Professional Licensing and Certification
Provider: CALIFORNIA STATE DEPARTMENT OF FINANCIAL PROTECTION AND INNOVATION
The department provides licensing services for people of all ages in California. Services include occupational/professional licensing and certification for financial and investment advisors, and securities/commodities sales agents. There are no geographic restrictions.
The department regulates state-licensed financial institutions, products and professionals in order to provide accessibility to a fair and secure financial services marketplace. The Department license and/or regulates state-chartered banks and credit unions, offer and sale of investments (stocks and bonds), franchises, and certain commodity transactions, stock brokers and investment advisors, including financial planners offering investment advice, commercial loans offered by finance companies, residential mortgage lenders, loan services, payday lenders, independent escrow companies and escrow transactions, money transmitters, trust companies, premium finance companies and credit companies and individuals managing or settling consumer debt.
The department also provides consumers with information regarding the license status of a financial institution, company or individual and whether there have been any disciplinary actions against them.
The department regulates state-licensed financial institutions, products and professionals in order to provide accessibility to a fair and secure financial services marketplace. The Department license and/or regulates state-chartered banks and credit unions, offer and sale of investments (stocks and bonds), franchises, and certain commodity transactions, stock brokers and investment advisors, including financial planners offering investment advice, commercial loans offered by finance companies, residential mortgage lenders, loan services, payday lenders, independent escrow companies and escrow transactions, money transmitters, trust companies, premium finance companies and credit companies and individuals managing or settling consumer debt.
The department also provides consumers with information regarding the license status of a financial institution, company or individual and whether there have been any disciplinary actions against them.
Fee structure
Fixed Fee Application procedure
Call for Information, Call to Apply, Online Services Service hours
monday : 8:00 AM - 4:30 PM
tuesday : 8:00 AM - 4:30 PM
wednesday : 8:00 AM - 4:30 PM
thursday : 8:00 AM - 4:30 PM
friday : 8:00 AM - 4:30 PM
Website
dfpi.ca.gov|
Service/Intake (Consumer Services) |
+19163277585
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Service/Intake (Consumer Services) |
+18662752677
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Administrative |
+19164457205
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