An ordinary Rhode Island investment-adviser representative files Form U4 through IARD or CRD and pays the current $60 annual state fee. The ordinary examination route is Series 65 or Series 66 plus Series 7, with SIE timing applicable to applicants on or after October 1, 2018, subject to bounded designation and recent-registration alternatives. Current rules require six ethics and professional-responsibility credits plus six products and practice credits per reporting period, subject to stated reciprocity and FINRA-credit provisions.
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
- R.I. Gen. Laws § 7-11-206(a)(4) currently sets a $60 annual IAR fee.
- Application channel / system
- The firm files Form U4 through IARD or CRD; filing and qualification do not create registration.
- Official application reference
- https://dbr.ri.gov/about-dbr/i-need-initial-license
Renewal & maintenance
- CE hours
- Current 230-RICR-50-05-2 requires 6 ethics/professional-responsibility and 6 products/practice credits per reporting period, subject to its reciprocity and FINRA-credit provisions.
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://rules.sos.ri.gov/Regulations/part/230-50-05-1
- Last verified date
- 2026-08-31
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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