A Connecticut broker-dealer agent applies under the employing broker-dealer using Form U4 through CRD and must be registered before conducting securities business. The ordinary route requires Series 63 plus the FINRA examination appropriate to the products and functions; Series 7 plus Series 66 is an accepted alternative to Series 63. The current initial and annual renewal fee is $125 per agent, an individual transfer costs $100, and registration expires December 31 unless renewed. Series 7 is not universal and exam passage alone is not registration approval.
Eligibility
- Residency requirement / status
- Ordinary individual state registration applicant
Prelicensing education
- Education requirement explanation
- No education course asserted; Series 63 plus an activity-appropriate FINRA exam is ordinary, with Series 7 plus Series 66 as an alternative.
Background
- Fingerprint / background instructions
- Form U4 disclosures and any Department follow-up apply.
Application
- Application required
- Yes
- Application fee
- $125 initial; $125 annual renewal; $100 individual transfer.
- Application channel / system
- Employing broker-dealer files Form U4 through CRD.
- Official application reference
- https://portal.ct.gov/dob/securities-licensing/broker-dealers/applying-for-broker-dealer-registration-in-connecticut
Renewal & maintenance
- CE hours
- FINRA and state continuing-education obligations depend on effective registrations and role.
Portability
- Nonresident licensing available
- Yes
- Portability / mobility notes
- Registration expires December 31 and is employer/jurisdiction specific.
Military / veteran / spouse
- Military experience / education credit
- No
Source governance
- Primary authoritative source
- https://portal.ct.gov/dob/securities-licensing/broker-dealers/applying-for-broker-dealer-registration-in-connecticut
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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