An ordinary Kentucky broker-dealer agent files Form U4 through CRD and pays $50 initially, on transfer, and at annual renewal. Qualification requires Series 63 or Series 66 plus the applicable FINRA activity examination. Form U5 is filed through CRD, generally within 30 days after employment ends. Dual registration requires separate firm requests and Kentucky DFI approval.
Prelicensing education
- Education requirement explanation
- Series 63 or Series 66 plus the applicable FINRA activity examination; examination passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no universal fingerprint requirement is asserted.
Application
- Application fee
- $50 initial, $50 transfer, and $50 annual renewal.
- Application channel / system
- The employing firm files Form U4 through CRD; Form U5 is filed through CRD after termination.
- Official application reference
- https://kfi.ky.gov/newstatic_info.aspx?static_id=240
Renewal & maintenance
- CE hours
- No separate Kentucky state-agent CE allocation is asserted.
Portability
- Portability / mobility notes
- Dual registration is not automatic and requires separate firm requests and DFI approval.
Military / veteran / spouse
- Military experience / education credit
- No automatic military or examination waiver is asserted.
Source governance
- Primary authoritative source
- https://apps.legislature.ky.gov/law/kar/titles/808/010/260/
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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