An ordinary Minnesota broker-dealer agent files Form U4 through CRD and pays $65 initially, at annual renewal, and on broker-dealer transfer. Unless waived by the administrator, qualification requires within two years at least one activity-appropriate FINRA agent examination plus Series 63 or Series 66. Examination passage alone does not create registration.
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
- $65 initial, $65 annual renewal, and $65 broker-dealer transfer under Minnesota Statutes §80A.65, subdivision 2.
- Application channel / system
- The employing firm files Form U4 through CRD and obtains Minnesota approval before activity.
- Official application reference
- https://www.revisor.mn.gov/rules/2876.4120/
Renewal & maintenance
- CE hours
- No separate Minnesota state-agent CE requirement or state expansion of FINRA MQP/EVEP is asserted.
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://www.revisor.mn.gov/statutes/2025/cite/80A.65/subd/80A.65.2
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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