Financial Industry Professionals License Overview
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.
Below are a list of resouces for the application forms or registration packets 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.
Additional Information on Licensing
For additional questions, contact the New Mexico Regulation and Licensing Department at (505) 476-4500.