An ordinary Missouri broker-dealer agent files Form U4 through CRD and pays a $50 initial state registration fee and $50 renewal fee. The ordinary general-securities route uses SIE, Series 7 top-off, and Series 63 or revised Series 66. Limited activities require their matching FINRA qualification. AO-18-01 exceptions and Missouri’s active-military renewal-fee provision apply only within their stated scope.
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 Missouri broker-dealer agent files Form U4 through CRD and pays a $50 initial state registration fee and $50 renewal fee. AO-18-01 exceptions and Missouri's active-military renewal-fee provision apply only within their stated scope.
- Application channel / system
- An ordinary Missouri broker-dealer agent files Form U4 through CRD and pays a $50 initial state registration fee and $50 renewal fee.
- Official application reference
- https://s1.sos.mo.gov/securities/licensing_faq
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://s1.sos.mo.gov/securities/licensing_faq
- Last verified date
- 2026-08-29
- Verification status
- Verified
- Review / recheck date
- 2026-09-29
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