A Vermont broker-dealer agent files Form U4 and the $145 state fee through CRD when associated with a FINRA member; non-FINRA firms file directly with the Commissioner. Qualification requires Series 63 plus the FINRA examination appropriate to the actual activity, except an agent registered in Vermont on June 30, 2016 is exempt from Series 63. Registration becomes effective 45 days after a complete filing unless approved earlier, expires December 31, and renews annually for $145. Vermont does not offer Agent EVEP. No ordinary categorical fingerprint, general exam waiver, military exception, or separate state-agent CE allocation is asserted.
Prelicensing education
- Education requirement explanation
- Series 63 plus the FINRA qualification appropriate to the activity; June 30, 2016 Vermont registrants retain the stated Series 63 exemption.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no ordinary categorical fingerprint requirement is asserted.
Application
- Application fee
- $145 initial and annual renewal.
- Application channel / system
- FINRA-member firms file Form U4 through CRD; non-FINRA firms file directly.
- Official application reference
- https://www.law.cornell.edu/regulations/vermont/21-001-Code-Vt-R-21-030-001-X
Renewal & maintenance
- CE hours
- No separate Vermont state-agent CE allocation is asserted.
Portability
- Portability / mobility notes
- No Vermont Agent EVEP; registration is annual and firm-associated.
Military / veteran / spouse
- Military experience / education credit
- No automatic military exception is asserted.
Source governance
- Primary authoritative source
- https://legislature.vermont.gov/statutes/section/09/150/05410
- Last verified date
- 2026-09-02
- Verification status
- Verified
- Review / recheck date
- 2026-10-02
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