An ordinary Delaware broker-dealer agent files Form U-4 through FINRA CRD and pays $65 initially, on transfer, and at renewal. Registration requires Investor Protection Unit approval before effectiveness and expires on a calendar-year basis. National FINRA qualification remains activity-specific; the issuer-agent Series 63/66 sentence is not transposed to this pathway.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match current state law; examination passage alone is not registration.
- Exemptions available
- Conditional
- Exemption explanation
- Issuer-agent Rule 602 examination language does not control this ordinary Rule 601 broker-dealer-agent pathway.
Background
- Fingerprints required
- No separate Delaware fingerprint requirement is asserted.
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application required
- Yes
- Application fee
- $65 initial, $65 transfer, and $65 renewal.
- Application channel / system
- The employing firm files Form U-4 and the fee through FINRA CRD; IPU approval is required before activity.
- Official application reference
- https://attorneygeneral.delaware.gov/fraud/ipu/industry-professionals/
Renewal & maintenance
- Renewal cycle
- Calendar-year registration and renewal.
- Renewal fee
- $65.
- CE hours
- No separate Delaware 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://attorneygeneral.delaware.gov/fraud/ipu/industry-professionals/
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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