An ordinary Delaware investment-adviser representative files Form U-4 through CRD, pays $65 initially, on transfer, and at renewal, and requires IPU approval. Qualification is Series 65 or Series 7 plus Series 66, with the current SIE timing condition, subject to the listed good-standing designation alternatives.
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
- $65 initial, $65 transfer, and $65 renewal.
- Application channel / system
- The adviser files Form U-4 through CRD and obtains IPU approval before activity.
- Official application reference
- https://attorneygeneral.delaware.gov/fraud/ipu/industry-professionals/
Renewal & maintenance
- CE hours
- No Delaware IAR CE or state EVEP/MQP expansion is asserted.
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://attorneygeneral.delaware.gov/fraud/ipu/industry-professionals/
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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