The firm files Form U4 through CRD. Qualification is Series 65 or Series 66 plus SIE and Series 7/S7TO, ordinarily within two years (SIE four years). Initial state fee is $255 plus the rule’s $5 processing fee; fingerprints are required. Current rules provide registration-history and good-standing designation waivers, applied individually.
Sources: Georgia IAR guide (https://sos.ga.gov/how-to-guide/how-guide-register-investment-adviser-representative), Rule 590-4-4 (https://rules.sos.ga.gov/gac/590-4-4).
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
- Initial state fee is $255 plus the rule's $5 processing fee; fingerprints are required.
- Application channel / system
- The firm files Form U4 through CRD.
- Official application reference
- https://sos.ga.gov/how-to-guide/how-guide-register-investment-adviser-representative
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://sos.ga.gov/how-to-guide/how-guide-register-investment-adviser-representative
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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