The official rules establish Series 65 or Series 7 plus Series 66, a two-year registration-lapse rule, and good-standing designation waivers including CFP, ChFC, PFS, CFA, and CIC. The firm files Form U4 through CRD/IARD. The state fee is $75 initially and annually. Exam passage is not registration authority.
Closure source: 18 NCAC Chapter 06, Rule .1709 (https://www.sosnc.gov/webfiles/documents/adminrules/18_sos/chapter_06_rules.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
- The state fee is $75 initially and annually.
- Application channel / system
- The firm files Form U4 through CRD/IARD.
- Official application reference
- https://www.sosnc.gov/webfiles/documents/adminrules/18_sos/chapter_06_rules.pdf
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.sosnc.gov/webfiles/documents/adminrules/18_sos/chapter_06_rules.pdf
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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