An ordinary Mississippi investment adviser representative files Form U4 through IARD and pays a $50 initial state registration fee. Mississippi also lists a $50 annual renewal fee. Rule 6.13 uses Series 65 or Series 66 plus Series 7 for the ordinary examination route, subject to its recent-registration, professional-designation, EVEP, and IAR-CE conditions. Those conditions are not universal waivers. Registration must be effective before activity begins.
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
- An ordinary Mississippi investment adviser representative files Form U4 through IARD and pays a $50 initial state registration fee. Mississippi also lists a $50 annual renewal fee.
- Application channel / system
- An ordinary Mississippi investment adviser representative files Form U4 through IARD and pays a $50 initial state registration fee.
- Official application reference
- https://www.sos.ms.gov/securities/fee-schedule
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.sos.ms.gov/securities/fee-schedule
- Last verified date
- 2026-08-29
- Verification status
- Verified
- Review / recheck date
- 2026-09-29
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