Apply for entry in the register of intermediaries as a financial investment broker or fee-based financial investment advisor

Service Description

The chambers of industry and commerce keep a register of intermediaries. Financial investment brokers and fee-based financial investment advisors, among others, must be entered in the register.
They may only work once they have been entered in the register of intermediaries.

Employees who are directly involved in advising and brokering must also be entered.

The following data is recorded in the register of intermediaries:

  • Their surname and first name or that of the legal representatives with responsibility for brokerage activities and of employees subject to registration,
  • the company and commercial partnerships in which you are active as a managing partner,
  • Your date of birth or the date of birth of the employees subject to registration,
  • your license
    • Financial investment brokers, stating the product category or categories that you are authorized to broker
    • Fee-based financial investment advisor, stating the product category or categories for which you are authorized to provide advice
  • the name and address of the competent licensing authority and the competent registration authority
  • Your business address
  • Your registration number

The register of intermediaries is publicly accessible online - with the exception of dates of birth. The purpose of the register is in particular to enable the general public, especially investors, to verify the license and the scope of the licensed activities of those subject to registration. Anyone can search for a person subject to registration by entering their name or register number.

Source: Zuständigkeitsfinder Thüringen (Linie6PLus)

No competent authority found

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