The agent must be affiliated with a FINRA-registered broker-dealer, pass Series 63 and the activity-appropriate representative examination (with SIE where coupled), file through CRD, and submit fingerprints. Exams are generally within two years, SIE within four; a two-year registration lapse triggers requalification. Registration expires December 31; renewal is $45.
Source: Georgia broker-dealer agent guide (https://sos.ga.gov/how-to-guide/how-guide-register-broker-dealer-agent).
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
- Registration expires December 31; renewal is $45.
- Application channel / system
- The agent must be affiliated with a FINRA-registered broker-dealer, pass Series 63 and the activity-appropriate representative examination (with SIE where coupled), file through CRD, and submit fingerprints.
- Official application reference
- https://sos.ga.gov/how-to-guide/how-guide-register-broker-dealer-agent
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://sos.ga.gov/how-to-guide/how-guide-register-broker-dealer-agent
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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