An ordinary Iowa investment-adviser representative files Form U4 through IARD or CRD and pays $30 initially, at annual renewal, and for a change filing, subject to the statutory sole-proprietor exception. Qualification is Series 65 or Series 7 plus Series 66, with SIE required for post-October 1, 2018 applications, subject to the current rule’s conditional exemptions and designations.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match current state law; examination 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
- $30 initial, $30 annual renewal, and $30 change filing, subject to the statutory sole-proprietor exception.
- Application channel / system
- The adviser files Form U4 through IARD or CRD, renews annually through IARD, and files Form U5 on withdrawal.
- Official application reference
- https://iid.iowa.gov/regulated-individuals/agents-advisers/investment-adviser
Renewal & maintenance
- CE hours
- No separate Iowa IAR continuing-education requirement is asserted without a current controlling adoption source.
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://iid.iowa.gov/media/5384/download?inline=
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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