An ordinary New Mexico investment-adviser representative files Form U4 through CRD/IARD and pays $50 initially and at annual renewal. The ordinary qualification route is Series 65 or Series 7 plus Series 66, subject to the rule’s bounded recent-registration and listed current-designation alternatives. Registration renews through CRD/IARD by December 31 and termination uses Form U5.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; 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
- The current official regulator page and statutory packet support $50 initial and $50 renewal fees; any dual agent/IAR exception is conditional.
- Application channel / system
- The firm files Form U4 through CRD/IARD and Form U5 on termination; filing and qualification do not create registration.
- Official application reference
- https://www.rld.nm.gov/securities-division/firms-industry-professionals/investment-advisers/
Renewal & maintenance
- CE hours
- No general New Mexico state IAR CE or EVEP mandate is asserted from the reviewed current page and packet.
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.rld.nm.gov/wp-content/uploads/2026/03/NM-Investment-Adviser-Registration-Packet.pdf
- Last verified date
- 2026-08-31
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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