All agent filings should be submitted through Web CRD. The Web CRD System
Submit a complete Form U-4 and a fee of $130 to the Web CRD System
Submit amendments to Form U-4 to Web CRD, in accordance with the instructions on Form U-4. All material information on the form U-4 on file with the Bureau through Web CRD must be current at all times.
On or before December 31st of each year, submit a renewal fee of $100 per agent to Web CRD for licensing in the ensuing year.
Submit a Form U-5 for New Hampshire through the Web CRD system.
EXAMINATION REQUIREMENTS FOR LICENSURE
Each applicant for individual investment adviser licensure shall provide to the Secretary of State or to CRD, proof of obtaining a passing score(s) on one of the following examination requirements:
WAIVERS - The examination requirement shall not apply to an individual who upon application holds one of the following professional designations.
SOLE PROPRIETORSHIP INVESTMENT ADVISERS - Sole Proprietor Investment Advisers have to be licensed as investment advisers, but do not have to be separately licensed as agents. They do, however, have to meet the same examination requirements for licensure of agents.