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IMPORTANT: Select a location.To obtain application forms, location-specific information and contacts, select a town or zip code.

For an area outside of Lower Saxony and foreign languages, some menu items and functions are not available. Please go to the service page of the respective country.

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Which place to enter?

The location is used to determine the responsible office for the selected administrative service. In most cases you can enter your place of residence to find the competent authority. However, there are also cases in which a different location must be specified. Here are some examples:

Birth certificateYou want to get married and need a birth certificate. You live in Hanover, but you were born in Celle. You must therefore state your place of birth, i.e. Celle.

Business registrationYou would like to register a business in Braunschweig. Your place of residence is Hanover. You must therefore state the location of your future business, i.e. Braunschweig.

Apply for a building permitYou would like to build a house in Wunstorf and therefore apply for a building permit. Her place of residence is currently Hanover. You must indicate the place where the house is to be built. In this case it is Wunstorf.

Show foreign financial investment brokers and financial investment advisors

Read aloud

As a financial investment broker and advisor, you require a license in Germany. If you only wish to work as a self-employed financial investment broker on a temporary basis, prior written notification to the competent authority is sufficient. However, this only applies to EU or EEA citizens.

Requirements

  • You are a citizen of a member state of the EU or a signatory state to the Agreement on the European Economic Area
  • You maintain a legal establishment for the exercise of financial investment brokerage activities in one of these countries

Which documents are required?

  • Proof of nationality (e.g. identity card or passport)
  • Proof of legal establishment for the exercise of financial investment brokerage activities in a member state of the EU or a signatory state to the Agreement on the European Economic Area
  • Proof that the exercise of these activities is not prohibited, not even temporarily
  • Proof that there is no criminal record
  • Documents from the country of establishment that prove your personal reliability to carry out the financial investment brokerage business,
  • Proof of your professional qualification if the activity of financial investment brokerage is also subject to the possession of certain professional qualifications in the country of establishment,
  • otherwise, proof that you have practiced financial investment brokerage in the country of establishment for at least two years in the previous ten years,
  • proof of insurance cover or another type of individual or collective protection with regard to professional liability.

If you are a trader from an EU member state or an EEA member state, you can use documents from your country of origin to prove that you meet the requirements for the reliability and orderly financial circumstances of a trader.

What are the fees?

Fees are incurred. These are based on the fee schedule of the responsible office and are determined by this office. Please contact the responsible office.

Process flow

The granting of the license is automatically entered in the register of intermediaries. After you have received the permit, you must register your business before you start your activity.

What else should I know?

The permit is valid throughout Germany. It may be limited to one or more categories. Under certain circumstances, the competent authority may revoke a permit.

Legal basis

Source: Serviceportal Niedersachsen (Portalverbund des Bundes und der Länder)

Further Links

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Single points of contact of the state of Lower Saxony, Single points of contact of the countries of Europe, advice and assistance for EU citizens and their families.
Access information on the single point of contact for the state of Lower Saxonyvisit Website Internal Market, Industry, Entrepreneurship and SMEsVisit advice and assistance for EU citizens and their families