An ordinary South Carolina broker-dealer agent files Form U4 through CRD and pays $110 initially and at annual renewal. Qualification requires the activity-appropriate examination plus Series 63 or Series 66. Retesting ordinarily applies after 24 consecutive months without the specified registration; Order 24002 preserves examinations only for applicants satisfying its exact MQP and EVEP conditions.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match current state law; 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
- $110 initial, renewal, or change fee under the current South Carolina authority.
- Application channel / system
- The employing firm files Form U4 through CRD; fee payment and examination passage do not create registration.
- Official application reference
- https://www.scag.gov/inside-the-office/legal-services-division/securities/registration/broker-dealers/
Renewal & maintenance
- CE hours
- No general South Carolina state-agent CE mandate is asserted; Order 24002 EVEP relief is conditional.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and regulatory 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.scag.gov/wp-content/uploads/2011/03/13-401.pdf
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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