The initial registration fee is $255.00. See O.C.G.A. § 10-5-39(d). The fee payment should be made through the IARD system on FINRA’s website.

Submit a Form U-4 electronically through CRD for each representative to be registered in Georgia. 

For additional information on submitting the U-4, please visit the Filing & Guidance section of FINRA's website.

All applicants requesting registration as an investment adviser representative must submit fingerprints as required by O.C.G.A. § 10-5-35. See Securities and Charities Division guidance on how to submit fingerprints. 

Unless otherwise waived by the Commissioner, an investment adviser, registered or required to be registered pursuant to Section 10-5-32, or an investment adviser representative, registered or required to be registered pursuant to Section 10-5-33, shall take and pass within the two-year period immediately preceding the date of the application, except in regards to the Securities Industry Essentials (SIE) Exam which the applicant shall take and pass within the four-year period immediately preceding the date of the application:

(a) The Uniform Investment Adviser State Law Examination (Series 65); or

(b) The Uniform Combined State Law Examination (Series 66), the Securities Industry Essentials (SIE) Exam, and the General Securities Representative Examination (Series 7/S7TO).