An ordinary Hawaii broker-dealer agent applies on Form U-4 directly or through CRD and pays $50 initially, at annual renewal, and on transfer. Unless exempt, qualification requires the activity-appropriate FINRA examination plus the Uniform Securities Agent State Law Examination. Registration expires December 31; termination uses Form U-5. Series 66 is not asserted as a Hawaii alternative.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match current state law; examination passage alone is not registration.
- Exemptions available
- Conditional
- Exemption explanation
- Only the commissioner’s bounded order-based waiver and exact rule exemptions apply.
Background
- Fingerprints required
- No separate Hawaii agent fingerprint requirement is asserted.
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application required
- Yes
- Application fee
- $50 initial, $50 annual renewal, and $50 transfer under HAR §16-39-103(8).
- Application channel / system
- The broker-dealer or issuer files Form U-4 directly or through CRD; termination uses Form U-5.
- Official application reference
- https://cca.hawaii.gov/wp-content/uploads/2026/02/HAR_39-C-Securities.pdf
Renewal & maintenance
- Renewal cycle
- Annual; registration expires December 31.
- Renewal fee
- $50 annual renewal.
- CE hours
- No separate Hawaii state-agent CE promise 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://cca.hawaii.gov/wp-content/uploads/2026/02/HAR_39-C-Securities.pdf
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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