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NC SOS

Salesmen Registration Requirements

Salesmen

Salesmen must file electronically through the Web CRD system operated by FINRA. For questions relating to FINRA or the Web CRD system, please call the Gateway Call Center at (301) 869-6699.

Initial Registration:
1. Pass either the Series 63 exam, or a combination of the Series 7 and Series 66 exams.
2. File Form U4 electronically through the CRD system.
3. Pay filing fee of $125.00 per salesman. Fees are paid through CRD system. 4. Submit any other information requested by the Securities Division in a timely manner.

North Carolina does not permit dual registration. No salesman may be registered with more than one dealer.

Renewals

A salesman registration expires December 31 of each year unless renewed. FINRA publishes annual renewal instructions on its website. If you have questions regarding the renewal process you should contact the FINRA Gateway Call Center at (301) 869-6699.

Please note: Failure to renew by December 31st will result in termination of registration in North Carolina. The Securities Division will NOT send out separate reminders about the renewal process.

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