An ordinary South Dakota investment-adviser representative files Form U4 through IARD and pays $50 initially and at annual renewal. The ordinary qualification route is Series 65 or Series 66 plus Series 7 within two years, with SIE within four years, subject to the rule’s bounded designation, recent-registration, home-jurisdiction, solicitor, and MQP provisions. Registration expires December 31 and must be effective before activity begins.
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
- The current official regulator page lists $50 initially and $50 annually; registration expires December 31.
- Application channel / system
- The firm files Form U4 through IARD and Form U5 on termination; filing and qualification do not create registration.
- Official application reference
- https://dlr.sd.gov/securities/investment_adviser_licensing.aspx
Renewal & maintenance
- CE hours
- No general South Dakota state IAR CE mandate is asserted from the reviewed filing page and effective rule.
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://sdlegislature.gov/api/Rules/31548.html
- Last verified date
- 2026-08-31
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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