An ordinary Kentucky investment-adviser representative files Form U4 through CRD and pays $50 initially and at annual renewal. Qualification is Series 65 or Series 7 plus Series 66, subject to current-good-standing CFP, ChFC, PFS, CFA, or CIMA alternatives and any applicant-specific relief granted under 808 KAR 10:260. The initial application includes an FBI Identity History Summary Check and credit-report acknowledgement, subject to the current broker-dealer-agent/SRO fingerprint exception. Kentucky requires twelve annual IAR continuing-education credits: six Ethics and Professional Responsibility, including at least three ethics hours, plus six Products and Practice. Termination uses Form U5 through IARD.
Prelicensing education
- Education requirement explanation
- Series 65 or Series 7 plus Series 66; current-good-standing CFP, ChFC, PFS, CFA, or CIMA alternatives and any other relief remain conditional under the current rule.
Background
- Fingerprint / background instructions
- The initial application includes an FBI Identity History Summary Check and credit-report acknowledgement, except only within the current broker-dealer-agent/SRO fingerprint condition.
Application
- Application fee
- $50 initial and $50 annual renewal.
- Application channel / system
- File Form U4 through CRD; submit Form U5 through IARD at termination.
- Official application reference
- https://kfi.ky.gov/newstatic_info.aspx?static_id=242
Renewal & maintenance
- CE hours
- Twelve annual credits: six Ethics and Professional Responsibility, including at least three ethics hours, plus six Products and Practice.
Portability
- Portability / mobility notes
- A lapse over two years ordinarily requires requalification; NASAA EVEP may preserve validity for up to five years only when every current rule condition is met.
Military / veteran / spouse
- Military experience / education credit
- No automatic military waiver or credit is asserted.
Source governance
- Primary authoritative source
- https://apps.legislature.ky.gov/law/kar/titles/808/010/260/
- Last verified date
- 2026-09-02
- Verification status
- Verified
- Review / recheck date
- 2026-10-02
Compare education providers
Alphabetical options; compensation never determines eligibility or placement. Confirm the exact course and jurisdiction before enrolling. This directory is not exhaustive.
No currently verified published offerings match. Check official provider and regulator resources; additional options may exist.