A Connecticut investment-adviser representative files Form U4 through IARD or CRD and must obtain Department of Banking approval before providing advisory services. The ordinary qualification is Series 65; Series 66 with valid SIE and Series 7 is an alternative. The current initial and annual renewal fee is $125, and registration expires December 31 unless renewed. Professional-designation examination waivers and the military-duty fee-waiver process apply only when every published condition is satisfied. Exam passage or a designation does not itself create registration authority.
Eligibility
- Residency requirement / status
- Ordinary individual state registration applicant
Prelicensing education
- Education requirement explanation
- Series 65 is ordinary; Series 66 with valid SIE and Series 7 is an alternative. Published designation waivers are conditional.
Background
- Fingerprint / background instructions
- Form U4 disclosures and any Department follow-up apply.
Application
- Application required
- Yes
- Application fee
- $125 initial; $125 annual renewal. A military-duty fee waiver is conditional on the official process.
- Application channel / system
- Form U4 through IARD or CRD.
- Official application reference
- https://portal.ct.gov/DOB/Securities-Licensing/Investment-Adviser-Agents/Investment-Adviser-Agent-Information
Renewal & maintenance
- CE hours
- State and firm continuing-education obligations depend on effective registration and applicable rules.
Portability
- Nonresident licensing available
- Yes
- Portability / mobility notes
- Registration expires December 31; qualification and registration history are separately governed.
Military / veteran / spouse
- Military-spouse provisions
- Use only the published Connecticut military-duty fee-waiver process; no broader benefit asserted.
Source governance
- Primary authoritative source
- https://portal.ct.gov/DOB/Securities-Licensing/Investment-Adviser-Agents/Investment-Adviser-Agent-Information
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
Compare education providers
Alphabetical options; compensation never determines eligibility or placement. Confirm the exact course and jurisdiction before enrolling. This directory is not exhaustive.
No currently verified published offerings match. Check official provider and regulator resources; additional options may exist.