Ordinary pathway: firm-associated Form U4 through CRD; Series 63 or 66 plus the applicable FINRA activity exam; $50 initial and $25 renewal fee; December 31 renewal. Limited qualification limits activity. Resident/office applicants must follow the state seminar requirement. Exam qualification is not registration authority.
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
- Ordinary pathway: firm-associated Form U4 through CRD; Series 63 or 66 plus the applicable FINRA activity exam; $50 initial and $25 renewal fee; December 31 renewal.
- Application channel / system
- Ordinary pathway: firm-associated Form U4 through CRD; Series 63 or 66 plus the applicable FINRA activity exam; $50 initial and $25 renewal fee; December 31 renewal.
- Official application reference
- https://www.maine.gov/pfr/securities/licensing/licensingfeeschedule.htm
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://www.maine.gov/pfr/securities/licensing/licensingfeeschedule.htm
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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