A District of Columbia investment-adviser representative files Form U4 through IARD or CRD and pays $45 initially, at annual renewal, and on transfer. Qualification is Series 65, or Series 7 plus Series 66, subject to current-good-standing CFP, ChFC, PFS, CFA, or CIC alternatives or a written good-cause waiver granted by DISB. Registration expires December 31 unless renewed.
Prelicensing education
- Education requirement explanation
- Series 65, or Series 7 plus Series 66; listed good-standing designations and written good-cause relief remain conditional.
Background
- Fingerprint / background instructions
- Use the DISB fingerprint process and pay the one-time $50 charge only when no CRD or IARD fingerprint record is available.
Application
- Application fee
- $45 initial, $45 annual renewal, and $45 transfer; conditional one-time $50 fingerprint processing.
- Application channel / system
- File Form U4 through IARD or CRD for the associated adviser.
- Official application reference
- https://disb.dc.gov/page/initial-filings-investment-adviser-representatives
Renewal & maintenance
- CE hours
- Twelve annual IAR CE credits: six Products and Practices and six Ethics and Professional Responsibility; FINRA CE substitution is limited to the Products and Practices component.
Portability
- Portability / mobility notes
- Conditional EVEP or MQP treatment may extend validity to five years only when every current rule condition is met.
Military / veteran / spouse
- Military experience / education credit
- No broad military waiver or credit is asserted.
Source governance
- Primary authoritative source
- https://disb.dc.gov/sites/default/files/dc/sites/disb/publication/attachments/dc_investment_adviser_representative-ce_requirement_2023_final.pdf
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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