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Securities Agents

The following are the license requirements for Securities Agents.


Agents must pass Series 63 or Series 66 exams plus one FINRA agent exam


Agent applications on Form U-4 (available from FINRA) should be mailed to the FINRA.


$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:

Agent Application Form U4

CRD Renewal