Hawaii requires registration before advisory activity, Series 65 or Series 7 plus Series 66 under HAR §16-39-453, and a $50 application fee. Registrations expire December 31 and renew through IARD. HAR §16-39-454.5 requires annual IAR CE; dual-registration/designation credits apply only as the rule permits. Preserve national SIE/Series 7 prerequisites and do not infer broader designation waivers.
Closure evidence — 2026-08-26: https://cca.hawaii.gov/breg/files/2023/12/HAR_39-C-Securities.pdf, https://cca.hawaii.gov/sec/securities-filing-fees/, and https://cca.hawaii.gov/breg/new-rule-requiring-continuing-education-for-investment-adviser-representatives/
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
- Hawaii requires registration before advisory activity, Series 65 or Series 7 plus Series 66 under HAR §16-39-453, and a $50 application fee. Closure evidence — 2026-08-26: https://cca.hawaii.gov/breg/files/2023/12/HAR_39-C-Securities.pdf, https://cca.hawaii.gov/sec/securities-filing-fees/, and https://cca.hawaii.gov/breg/new-rule-requiring-continuing-education-for-investment-adviser-representatives/
- Application channel / system
- Registrations expire December 31 and renew through IARD.
- Official application reference
- https://cca.hawaii.gov/wp-content/uploads/2026/02/HAR_39-C-Securities.pdf
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://cca.hawaii.gov/wp-content/uploads/2026/02/HAR_39-C-Securities.pdf
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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