An ordinary Colorado investment-adviser representative files Form U4 through IARD and pays $20 initially and at annual renewal. Qualification is Series 65 within two years or Series 66 with the applicable Series 7 and SIE architecture, subject to the current rule’s designation alternatives and applicant-specific discretion. Amendments are due within 30 days.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match current state law; examination 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
- $20 initial and $20 annual renewal.
- Application channel / system
- The adviser files Form U4 through IARD; material amendments are filed within 30 days.
- Official application reference
- https://securities.colorado.gov/press-release/press-release-colorado-division-of-securities-notice-of-fee-changes
Renewal & maintenance
- CE hours
- Each reporting period requires six regulatory and ethics credits, including at least three ethics hours, plus six products and practice credits, subject to current reciprocity and FINRA or credential-credit treatment.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and regulatory 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.sos.state.co.us/CCR/GenerateRulePdf.do?ruleVersionId=10733
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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