Maryland requires firm-associated agent registration but is an approved national Series 63 exception. The applicant still needs the function-appropriate FINRA qualification and Form U4/CRD approval. Initial, renewal, and transfer fee is $65; registration expires December 31. Do not imply that the Series 63 exception eliminates registration.
Sources: Maryland fee schedule (https://oag.maryland.gov/i-need-to/Pages/fee-schedule.aspx), NASAA-REG-001.
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
- Initial, renewal, and transfer fee is $65; registration expires December 31. Sources: Maryland fee schedule (https://oag.maryland.gov/i-need-to/Pages/fee-schedule.aspx), NASAA-REG-001.
- Application channel / system
- The applicant still needs the function-appropriate FINRA qualification and Form U4/CRD approval.
- Official application reference
- https://oag.maryland.gov/i-need-to/Pages/fee-schedule.aspx
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://oag.maryland.gov/i-need-to/Pages/fee-schedule.aspx
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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