An ordinary Utah broker-dealer agent files Form U4 through CRD and pays $40 initially and at annual renewal. Qualification uses SIE plus the applicable Series 6 or Series 7 top-off and Series 63 or Series 66 as applicable. SIE passage alone does not authorize securities activity. Registration expires December 31 unless renewed.
Prelicensing education
- Education requirement explanation
- SIE plus the applicable Series 6 or Series 7 top-off and Series 63 or Series 66; SIE alone is not authorization.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no universal Utah fingerprint requirement is asserted.
Application
- Application fee
- $40 initial and $40 annual renewal.
- Application channel / system
- The employing firm files Form U4 and funds the Utah filing through CRD.
- Official application reference
- https://commerce.utah.gov/securities/licenses/broker-dealer-agents/
Renewal & maintenance
- CE hours
- No separate Utah state-agent CE allocation is asserted.
Portability
- Portability / mobility notes
- The two-year requalification rule and discretionary relief must remain within current rule conditions.
Military / veteran / spouse
- Military experience / education credit
- No broad military waiver or credit is asserted.
Source governance
- Primary authoritative source
- https://commerce.utah.gov/securities/securities-library/fees/
- Last verified date
- 2026-09-01
- Verification status
- Verified
- Review / recheck date
- 2026-10-01
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