An applicant must be at least 18, pass Series 63 or 66 and the Series 7 or another activity-appropriate authorized FINRA examination, and be registered through the employing firm before activity. Limited exams restrict scope. Current initial and renewal state fee is $150. A two-year all-jurisdiction registration lapse ordinarily triggers current examination compliance.
Sources: Illinois selling-securities guidance (https://www.ilsos.gov/departments/securities/sellingsec.html), Illinois Rule 130.832 (https://www.ilsos.gov/publications/pdf_publications/ilsecrules1953.pdf).
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; exam 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
- Current initial and renewal state fee is $150.
- Application channel / system
- File through the applicable CRD/IARD channel and obtain state approval before regulated activity.
- Official application reference
- https://www.ilsos.gov/departments/securities/sellingsec.html
Renewal & maintenance
- CE hours
- FINRA, state, and firm continuing-education duties depend on effective registrations and current rules.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and 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://www.ilsos.gov/departments/securities/sellingsec.html
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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