An ordinary Tennessee broker-dealer agent of a FINRA-member firm is filed on Form U4 through Web CRD with Tennessee selected and pays $50 initially and at annual renewal. The individual must hold the FINRA qualification appropriate to the actual securities activities. The separate non-FINRA route requires Series 63 or Series 66 plus an appropriate securities examination. Filing and examination passage do not create registration before Tennessee approval. No automatic examination waiver or validity extension, universal state fingerprint or military exception, or separate Tennessee state-agent continuing-education allocation is asserted.
Prelicensing education
- Education requirement explanation
- Use the FINRA qualification appropriate to the actual activity. Only the separate non-FINRA route expressly requires Series 63 or Series 66 plus an appropriate securities examination.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no universal Tennessee state fingerprint requirement is asserted.
Application
- Application fee
- $50 initial and $50 annual renewal.
- Application channel / system
- For the ordinary FINRA-member route, the firm files Form U4 through Web CRD with Tennessee selected.
- Official application reference
- https://www.tn.gov/content/dam/tn/commerce/documents/securities/forms/BDPack.pdf
Renewal & maintenance
- CE hours
- Applicable FINRA continuing-education duties follow effective registrations; no separate Tennessee state-agent CE allocation is asserted.
Portability
- Portability / mobility notes
- No automatic examination waiver or validity extension is asserted; approval and current firm association remain separate from examination passage.
Military / veteran / spouse
- Military experience / education credit
- No automatic military waiver, credit, or registration exception is asserted.
Source governance
- Primary authoritative source
- https://www.tn.gov/content/dam/tn/commerce/documents/securities/forms/BDPack.pdf
- Last verified date
- 2026-09-02
- Verification status
- Verified
- Review / recheck date
- 2026-10-02
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