An ordinary Wyoming investment-adviser representative files Form U4 through IARD or CRD and pays $45 initially and annually unless the exact statutory dual-registration exception applies. The ordinary examination route is Series 65 or Series 66 plus Series 7. Current good-standing CFP, ChFC or MSFS, CFA, PFS, or CIC designations and specified recent-registration conditions can waive the examination requirement. Registration must be effective before activity begins.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; examination 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
- Current official authority supports a $45 initial fee and $45 annual renewal fee; the dual-path exception is not the ordinary-applicant fee.
- Application channel / system
- The firm files Form U4 through IARD or CRD; filing and qualification do not create registration.
- Official application reference
- https://sos.wyo.gov/Investing/IARepresentatives.aspx
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://sos.wyo.gov/Media/2023/002-12142023-Securities-Rules-Chpts-2-4-5-10.pdf
- Last verified date
- 2026-08-31
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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