Oregon requires an associated individual to file Form U4 through CRD. The firm pays the representative fee from its CRD account. Oregon DFR and current OAR 441-175-0002 both list a $60 initial representative fee and a $60 renewal fee. Confirm the amount displayed in CRD immediately before filing.
Oregon requires Series 63 or Series 66 plus the applicable product examination. Series 7 applies to general securities authority; limited securities activities require the corresponding activity-specific product examination. Examination passage and filing do not by themselves authorize activity before Oregon registration is effective.
Prelicensing education
- Education requirement explanation
- Qualification must match the representative's actual securities activities. Series 7 is the general-securities route; limited activities require the corresponding product examination.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless Oregon expressly requires one for the applicant.
Application
- Application fee
- $60 initial representative fee; $60 renewal fee. Current Oregon DFR instructions and OAR 441-175-0002 agree. Confirm the live CRD amount immediately before filing.
- Application channel / system
- The associated individual files Form U4 through CRD, and the firm pays the fee from its CRD account.
- Official application reference
- https://dfr.oregon.gov/business/licensing/financial/securities/pages/broker-dealers.aspx
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 Oregon approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted because the reviewed Oregon securities sources do not expressly establish one.
Source governance
- Primary authoritative source
- https://dfr.oregon.gov/business/licensing/financial/securities/pages/broker-dealers.aspx
- Last verified date
- 2026-08-29
- Verification status
- Verified
- Review / recheck date
- 2026-09-29
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