The firm files Form U4 through CRD. Qualification is Series 65 within two years, or Series 66 within two years plus valid Series 7 (including its SIE/S7TO structure). New York does not sponsor the Series 65. The IAR may not advise before approval. Current initial and annual filing fee is $200. Rule 11.7 continuous-registration/legacy waivers are narrow and disclosure-dependent.
Source: NY IAR FAQ (https://ag.ny.gov/investment-advisers-faq).
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
- Current initial and annual filing fee is $200.
- Application channel / system
- The firm files Form U4 through CRD.
- Official application reference
- https://ag.ny.gov/investment-advisers-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://ag.ny.gov/investment-advisers-faq
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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