Form U4 through CRD/IARD; $50 initial/annual. Unless a current rule exception or waiver applies, an initial applicant must pass Series 65 within 24 months, or Series 66 and Series 7 within 24 months, and must also pass the SIE within 48 months. Recent registration and listed good-standing designations remain stated alternatives. CE and tax require live recheck.
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
- Form U4 through CRD/IARD; $50 initial/annual. Unless a current rule exception or waiver applies, an initial applicant must pass Series 65 within 24 months, or Series 66 and Series 7 within 24 months, and must also pass the SIE within 48 months. Recent registration and listed good-standing designations remain stated alternatives. CE and tax require live recheck.
- Application channel / system
- Form U4 through CRD/IARD; $50 initial/annual. Unless a current rule exception or waiver applies, an initial applicant must pass Series 65 within 24 months, or Series 66 and Series 7 within 24 months, and must also pass the SIE within 48 months. Recent registration and listed good-standing designations remain stated alternatives. CE and tax require live recheck.
- Official application reference
- https://www.tn.gov/commerce/securities/industry-professionals/filing-instructions-and-forms/adviser-registration.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.tn.gov/commerce/securities/industry-professionals/filing-instructions-and-forms/adviser-registration.html
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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