Texas requires an accepted general or specialized FINRA qualification for the activity and a state-law examination satisfied by Series 63 or Series 66. Where the selected FINRA qualification is coupled with SIE, SIE is also required. Specialized exams produce restricted scope. The firm files the agent registration; state fee is $35 initial and $20 renewal. Rule-based waivers, including MQP/EVEP provisions, require applicant-specific confirmation.
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
- The firm files the agent registration; state fee is $35 initial and $20 renewal.
- Application channel / system
- File through the applicable CRD/IARD channel and obtain state approval before regulated activity.
- Official application reference
- https://ssb.texas.gov/texas-securities-act-and-board-rules/board-rules/recent-changes-board-rules/november-8-2024
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://ssb.texas.gov/texas-securities-act-and-board-rules/board-rules/recent-changes-board-rules/november-8-2024
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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