ASC requires Form U4 through CRD, a $70 state filing fee, and Series 65 or Series 66 qualification. Examination waivers are individualized and limited; do not promise a categorical waiver. The official page and statute establish firm association and registration before activity. Any CE participation and live CRD system charge remain implementation-time checks.
Closure source — 2026-08-26: https://asc.alabama.gov/for-industry/registration/investment-adviser-representatives/
Correction Required. Replace the unqualified Series 66 statement with the approved national architecture: Series 66 registration credit requires SIE and Series 7. Add the applicable national exam claim references, preserve Series 65 and individualized-waiver wording, then route for narrow re-review.
The earlier shorthand “Series 65 or Series 66 qualification” is superseded. Alabama registration credit uses either Series 65, or Series 66 only with both SIE and Series 7. Series 66 is not a standalone IAR qualification. This correction reuses approved national claims FINRA-SIE-001, FINRA-SIE-002, and NASAA-EXAM-066; Form U4/CRD, the $70 state fee, firm association, and individualized-waiver qualifications are unchanged. QA Ready for narrow Sarge re-review.
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
- ASC requires Form U4 through CRD, a $70 state filing fee, and Series 65 or Series 66 qualification. This correction reuses approved national claims FINRA-SIE-001, FINRA-SIE-002, and NASAA-EXAM-066; Form U4/CRD, the $70 state fee, firm association, and individualized-waiver qualifications are unchanged.
- Application channel / system
- ASC requires Form U4 through CRD, a $70 state filing fee, and Series 65 or Series 66 qualification.
- Official application reference
- https://asc.alabama.gov/for-industry/registration/investment-adviser-representatives/
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://asc.alabama.gov/for-industry/registration/investment-adviser-representatives/
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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