An Alabama broker-dealer agent applies through the employing broker-dealer using Form U4 in CRD and must receive Alabama registration approval before conducting securities business. Qualification requires Series 63 or Series 66 together with the FINRA examination appropriate to the securities activity. Series 7 is not universal; Series 6 is limited to its defined product functions. The current Alabama initial and renewal fee is $70. Exam passage alone is not registration, and dual registration is restricted unless the Commission grants relief under its rules.
Eligibility
- Residency requirement / status
- Ordinary individual state registration applicant
Prelicensing education
- Education requirement explanation
- No education course asserted; qualification is activity-specific and includes the applicable state-law examination.
Background
- Fingerprint / background instructions
- Disclosures flow through Form U4/CRD; ASC may request financial information under its published conditions.
Application
- Application required
- Yes
- Application fee
- $70 initial; $70 renewal.
- Application channel / system
- Employing broker-dealer files Form U4 through CRD.
- Official application reference
- https://asc.alabama.gov/for-industry/registration/broker-dealer-agent/
Renewal & maintenance
- CE hours
- FINRA and state continuing-education obligations depend on effective registrations and role.
Portability
- Nonresident licensing available
- Yes
- Portability / mobility notes
- Registration is firm- and jurisdiction-specific; limited dual-registration relief is case-specific.
Military / veteran / spouse
- Military experience / education credit
- No
Source governance
- Primary authoritative source
- https://asc.alabama.gov/for-industry/registration/broker-dealer-agent/
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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