Corporations Elections Licensing Securities

Broker-Dealer Agents


Broker-Dealer Agents [O.C.G.A. § 10-5-31]:

A broker-dealer agent is employed by a broker-dealer to sell securities but is not a registered broker-dealer. See O.C.G.A. § 10-5-2(1). Once the firm pays the registration fee through FINRA, the analyst assigned to the agent’s registration will contact you.

Agents in Georgia must be affiliated with a FINRA registered broker-dealer. To register as an agent, one must complete the following requirements:

Initial Registration

1. Registration Fee

Submit a fee of $50.00 through Web CRD

2. Exams

Pass the Series 63, PLUS one of the following other exams in satisfaction of FINRA’s requirements for securities representative registration (Series 1; S2; S6; S7; S22, S52, or S79). Please note that the state of Georgia does not sponsor individuals for any securities exams.

3. Forms

File a Form U4 through Web CRD

4. Additional Information

Submit any other information requested by the Commissioner.

Expiration and Renewal

Unless renewed, all broker-dealer agent registrations (regardless of when permitted in the calendar year) expire on December 31st of each calendar year.  The renewal fee is $40.00. Renewals should be submitted through web CRD prior to expiration of registration.

FINRA publishes instructions on web CRD renewal during the fall prior to expiration.  If you do not receive instructions from FINRA regarding the renewal process during the fall you should contact the FINRA Gateway Call Center at (240) 386-4848 or the Georgia Securities Division at (478) 207-2440.

Please be advised: Failure to renew by December 31st will result in termination of your registration in Georgia. The Securities Division will NOT send out separate renewal notices to remind registrants and notice filers of the renewal process.


Contact

214 State Capitol
Atlanta, Georgia 30334
404.656.2881
E-Mail
© 2012 Georgia Secretary of State