Investment Adviser Representative Registration Requirements

Investment Adviser Representatives

Investment adviser representatives must file electronically through the Web CRD system operated by FINRA. For questions relating to FINRA or the Web CRD system, call the Gateway Call Center at (240) 386-4848.

Initial Registration:

• Unless an exempted or approved for a waiver under 18 NCAC 06A.1709; pass either the
  • Series 65 exam, or a combination of the
  • Series 7 and
  • Series 66 exams.
• File Form U4(PDF) electronically through the CRD system.
• Pay filing fee of $75.00 per representative. Fees are paid through CRD system.
• Submit any other information requested by the Securities Division in a timely manner. North Carolina requires solicitors to register as investment adviser representative with the investment adviser for which they are soliciting.

Renewals:

An investment adviser registration expires December 31 of each year unless renewed. FINRA publishes annual renewal instructions on its website. If you have questions regarding the renewal process you should contact the FINRA Support Center at (240) 386-4848.

Note: Failure to renew by December 31st will result in termination of registration in North Carolina. The Securities Division will NOT send out separate reminders about the renewal process.