A Utah investment-adviser representative files Form U4 through the CRD or IARD architecture and pays $30 initially and at annual renewal. Qualification is Series 65, or Series 7 plus Series 66, subject to the current rule’s conditional professional-designation relief. Registration is renewed annually through the funded IARD account.
Prelicensing education
- Education requirement explanation
- Series 65, or Series 7 plus Series 66; rule-listed professional-designation relief remains conditional.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no universal Utah fingerprint requirement is asserted.
Application
- Application fee
- $30 initial and $30 annual renewal.
- Application channel / system
- The associated adviser files Form U4 through CRD or IARD and funds the Utah filing.
- Official application reference
- https://commerce.utah.gov/securities/corporate-finance/utah-licensing-guide/
Renewal & maintenance
- CE hours
- No separate Utah IAR CE adoption is asserted in the reviewed source set.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; regulatory approval is separate from examination validity.
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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