The following are the license requirements for Securities Agents.
Examinations:
Agents must pass Series 63 or Series 66 exams plus one FINRA agent exam
Forms:
Agent applications on Form U-4 (available from FINRA) should be mailed to the FINRA.
Fees:
$50 annual fee, payable to and sent to FINRA
License Renewal:
Annual renewals due on December 31 through CRD. Renewal notification will be sent by the CRD.
Related Information:
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