California requires the Series 63 or Series 66 plus any applicable SEC/SRO qualification. The firm reports the agent on Form U4 through CRD and pays $50; filing is not automatic approval. Registration is renewed through the firm annually. A lapse of two years ordinarily requires requalification, subject to current CRD-recognized validity programs and rule-based exceptions.
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 firm reports the agent on Form U4 through CRD and pays $50; filing is not automatic approval.
- Application channel / system
- The firm reports the agent on Form U4 through CRD and pays $50; filing is not automatic approval.
- Official application reference
- https://dfpi.ca.gov/regulated-industries/broker-dealers-and-investment-advisers/broker-dealer-requirements/
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://dfpi.ca.gov/regulated-industries/broker-dealers-and-investment-advisers/broker-dealer-requirements/
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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