Rule 1301:6-3-16 requires Series 63 or 66, SIE, and Series 7 unless restricted activities call for an enumerated limited exam. Exams ordinarily must be within two years, with registration-history, current SIE credit, MQP, and EVEP provisions applied as written. The dealer files Form U4 and fingerprints through CRD.
Source: authenticated Ohio Rule 1301:6-3-16 (https://codes.ohio.gov/ohio-administrative-code/rule-1301%3A6-3-16).
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
- Confirm all current filing, system, transfer, and renewal charges in the official filing system.
- Application channel / system
- The dealer files Form U4 and fingerprints through CRD.
- Official application reference
- https://codes.ohio.gov/ohio-administrative-code/rule-1301:6-3-16
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://codes.ohio.gov/ohio-administrative-code/rule-1301:6-3-16
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
Compare education providers
Alphabetical options; compensation never determines eligibility or placement. Confirm the exact course and jurisdiction before enrolling. This directory is not exhaustive.
No currently verified published offerings match. Check official provider and regulator resources; additional options may exist.