An ordinary Louisiana broker-dealer agent files Form U4 through CRD and pays $60 initially and at annual renewal. Qualification is the commissioner-prescribed examination or satisfactory proof of a similar FINRA examination, using only the examination applicable to the actual activity. Registration expires December 31 and renews annually through CRD. Firm association controls the registration, and termination ends it. No universal Series 63, automatic validity or waiver, fingerprint, military, or separate Louisiana state-agent continuing-education claim is asserted.
Prelicensing education
- Education requirement explanation
- Use the commissioner-prescribed examination or satisfactory proof of a similar FINRA examination applicable to the actual activity. No universal Series 63 requirement is asserted.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no universal Louisiana agent fingerprint requirement is asserted.
Application
- Application fee
- $60 initial and $60 annual renewal.
- Application channel / system
- The ordinary FINRA-member route files Form U4 through CRD; the agent must be cancelled by the current broker-dealer before a new registration can be approved unless the firms are affiliated.
- Official application reference
- https://ofi.la.gov/securities/broker-dealers-and-agents/
Renewal & maintenance
- CE hours
- No separate Louisiana state-agent CE allocation is asserted.
Portability
- Portability / mobility notes
- Registration is firm-associated; cancellation by the current firm is required before another nonaffiliated firm registration can be approved.
Military / veteran / spouse
- Military experience / education credit
- No automatic military waiver, credit, or registration exception is asserted.
Source governance
- Primary authoritative source
- https://legis.la.gov/legis/Law.aspx?d=104633
- Last verified date
- 2026-09-02
- Verification status
- Verified
- Review / recheck date
- 2026-10-02
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