For an agent of a FINRA-member broker-dealer, Iowa requires Series 63 or 66, the appropriate FINRA qualifying examination or FINRA waiver, and application through CRD with a $40 state filing fee. Do not convert the FINRA waiver reference into a state promise or assert a military benefit absent express evidence.
Closure evidence — 2026-08-26: https://iid.iowa.gov/regulated-individuals/agents-advisers/licenses
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
- For an agent of a FINRA-member broker-dealer, Iowa requires Series 63 or 66, the appropriate FINRA qualifying examination or FINRA waiver, and application through CRD with a $40 state filing fee.
- Application channel / system
- For an agent of a FINRA-member broker-dealer, Iowa requires Series 63 or 66, the appropriate FINRA qualifying examination or FINRA waiver, and application through CRD with a $40 state filing fee.
- Official application reference
- https://iid.iowa.gov/regulated-individuals/agents-advisers/licenses
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://iid.iowa.gov/regulated-individuals/agents-advisers/licenses
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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