An ordinary North Dakota investment-adviser representative files Form U4 through IARD and pays $60 initially and at annual renewal. The ordinary qualification route is Series 65 or SIE plus Series 7 plus Series 66, subject to the current two-year lapse rule and bounded grandfathering or listed current good-standing designation treatment. 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; 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 lists a $60 initial state fee and $60 annual renewal fee; no separate system charge is asserted.
- Application channel / system
- The firm files Form U4 through IARD; filing and examination passage do not create registration.
- Official application reference
- https://www.insurance.nd.gov/securities/investment-advisers-and-ia-representatives-registration
Renewal & maintenance
- CE hours
- No general North Dakota state IAR CE mandate is asserted from the reviewed current regulator page and policy statement.
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.insurance.nd.gov/securities/investment-advisers-and-ia-representatives-registration
- Last verified date
- 2026-08-31
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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