The employing firm files Form U4 through CRD. Pennsylvania requires Series 63 (or qualifying Series 66 credit) along with the function-appropriate FINRA qualification. State filing fee is $135 in the current official packet and must be live-rechecked. The record must describe agent registration and firm association, not a standalone Pennsylvania exam license.
Sources: Pennsylvania securities forms (https://www.pa.gov/agencies/dobs/securities/securities-forms), official broker-dealer kit (https://www.pa.gov/content/dam/copapwp-pagov/en/dobs/documents/businesses/securities/documents/bd%20non-finra%20kit%2010-12-23.pdf).
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
- State filing fee is $135 in the current official packet and must be live-rechecked.
- Application channel / system
- The employing firm files Form U4 through CRD.
- Official application reference
- https://www.pa.gov/agencies/dobs/securities/securities-forms
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://www.pa.gov/agencies/dobs/securities/securities-forms
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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