Quick facts
- Category: Professional License
- Apostilled by the California Secretary of State (Sacramento or Los Angeles)
- Fee: $20 per document (mail) or $26 (walk-in) at the California Secretary of State
- Free document review before you pay any government fee
- Tracked outbound and return shipping included
What to know
Source. FINRA BrokerCheck (brokercheck.finra.org, free) for the public registration report; a registered rep can also view/print their CRD record via FINRA Gateway. State registration is maintained by DFPI (Broker-Dealer/Investment Adviser program). Notarized route (what you actually do): 1. Assemble the underlying copy. Print your BrokerCheck report (or CRD record / registration confirmation) showing your name, CRD number, registrations, and exams; optionally include your DFPI state-registration record. 2. Sign a copy-certification by affidavit before a California notary — a sworn statement that “the attached is a true and correct copy of my securities registration record (CRD #____).” The notary takes your acknowledgment (or administers a jurat) and authenticates your signature. 3. Confirm the notary’s seal, signature, commission number, and expiration are present and legible. Who can.
Frequently asked questions
Is there a California securities license to apostille?
No single certificate. Individuals are registered via FINRA CRD plus a DFPI state registration. You apostille a notarized copy of that record.
What document do I actually use?
A printed BrokerCheck/CRD report (or registration confirmation), attached to a notarized sworn-copy affidavit.
FINRA isn’t a government agency — does the apostille still work?
Yes — the apostille authenticates the California notary’s signature on your affidavit, not FINRA.
Can a notary certify the copy of my BrokerCheck report?
No — a California notary may copy-certify only a power of attorney. You sign a sworn statement and the notary notarizes your signature.
Common destinations
Countries this document is most often sent to (pulled from this page's own guidance). Every destination has its own rulebook — apostille (Hague) or full legalization (non-Hague).