The adviser files Form U4 through IARD/CRD and pays $40. Qualification is Series 65 or Series 7 plus Series 66. An applicant unregistered for over two years generally requalifies unless holding a current good-standing CFP, ChFC, PFS, CFA, or CIC designation. Virginia approval is required before activity.
Sources: SCC IAR registration (https://www.scc.virginia.gov/regulated-industries/securities-retail-franchising/registration/securities-registration/investment-advisor-reps-registration/investment-advisor-and-representative-registra/), SCC 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
- The adviser files Form U4 through IARD/CRD and pays $40.
- Application channel / system
- The adviser files Form U4 through IARD/CRD and pays $40.
- Official application reference
- https://www.scc.virginia.gov/regulated-industries/securities-retail-franchising/registration/securities-registration/investment-advisor-reps-registration/investment-advisor-and-representative-registra/
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/securities-registration/investment-advisor-reps-registration/investment-advisor-and-representative-registra/
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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