Texas accepts Series 65 or the combination of a general/limited representative examination plus Series 66; using Series 66 therefore preserves the applicable national co-requisites. Each IAR serving Texas residents is filed through CRD/IARD as directed. Fee is $35 initial and $20 renewal. Professional-designation, legacy, discretionary, and EVEP waivers are applicant-specific; the current rule controls. A two-year inactive period ordinarily triggers requalification unless a recognized exception applies.
Sources: TSSB IA FAQ (https://www.ssb.texas.gov/securities-professionals/dealer-adviser-registration/getting-started-registered-investment-adviser-3), Rule 116.3 (https://ssb.texas.gov/texas-securities-act-and-board-rules/board-rules/recent-changes-board-rules/march-13-2025).
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
- Fee is $35 initial and $20 renewal.
- Application channel / system
- Each IAR serving Texas residents is filed through CRD/IARD as directed.
- Official application reference
- https://www.ssb.texas.gov/securities-professionals/dealer-adviser-registration/getting-started-registered-investment-adviser-3
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://www.ssb.texas.gov/securities-professionals/dealer-adviser-registration/getting-started-registered-investment-adviser-3
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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