An ordinary Wisconsin broker-dealer agent files Form U4 through CRD, pays $80 initially and at renewal, and must be approved before activity. Qualification requires SIE plus the activity-appropriate FINRA representative examination and Series 63, or Series 66 with Series 7 where applicable. Registrations expire December 31; termination uses Form U5 within 30 days.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match current state law; examination passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application fee
- $80 initial and $80 annual renewal.
- Application channel / system
- The employing firm files Form U4 through CRD; termination is filed on Form U5 within 30 days.
- Official application reference
- https://dfi.wi.gov/Pages/Securities/RegistrationOfProfessionals/RegisteredRepresentativeRegistrationBrokerDealerAgent.aspx
Renewal & maintenance
- CE hours
- No separate Wisconsin state-agent CE requirement is asserted.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and regulatory approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted unless expressly documented.
Source governance
- Primary authoritative source
- https://dfi.wi.gov/Pages/Securities/RegistrationOfProfessionals/RegisteredRepresentativeRegistrationBrokerDealerAgent.aspx
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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