Virginia agent registration uses firm association/Form U4 and the function-appropriate FINRA qualification plus Series 63 or valid Series 66 state-law credit. The SCC does not sponsor Series 63/66. Approval, not exam passage, creates authority. State fee and renewal charge require a live SCC/CRD recheck before implementation.
Source: SCC broker-dealer and adviser FAQ (https://www.scc.virginia.gov/regulated-industries/securities-retail-franchising/registration/broker-dealer-and-agent-registration/broker-dealer-investment-advisor-faqs/).
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
- $40 initial; $40 annual renewal.
- Application channel / system
- Virginia agent registration uses firm association/Form U4 and the function-appropriate FINRA qualification plus Series 63 or valid Series 66 state-law credit.
- Official application reference
- https://www.scc.virginia.gov/regulated-industries/securities-retail-franchising/registration/broker-dealer-and-agent-registration/broker-dealer-investment-advisor-faqs/
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.scc.virginia.gov/regulated-industries/securities-retail-franchising/registration/broker-dealer-and-agent-registration/broker-dealer-investment-advisor-faqs/
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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