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Salesman Registration Requirements
Requirements for FINRA Member Securities Salesman Registration: All agent registration, transfer, termination, and year-end annual registration filings by FINRA members will be accomplished entirely through the WebCRD System. All initial registrations, transfers, and annual registrations require a $40.00 fee [See A.R.S. § 44-1861(A)(2)], payable to FINRA. Make sure that the state block for ARIZONA is checked on Form U-4 and Form U-5 filings. Questions regarding agent registration, disciplinary records, etc. should be referred to the CRD/Public Disclosure Gateway Call Center, (301) 590-6500. Any correspondence should be sent to: CRD/Public Disclosure Department P.O. Box 9401 Gaithersburg, MD 20898-9401 Requirements for Non-FINRA Member and Issuer-Dealer Securities Salesman Registration: Initial Registration - Form U-4 with original signatures (affirmative answers to questions require complete details, documents and relative correspondence) [See A.R.S. § 44-1945]
- USASLE Series 63 results [See A.R.S. § 44-1942 and A.A.C. R14-4-109]
- Demonstrate business experience (proof of passage of required examination) [See A.R.S. § 44-1942 and A.A.C. R14-4-109]
- Fingerprints [See A.A.C. R14-4-122]
- Affidavit [See A.R.S. §§ 44-1942 and 44-1945]
- $40.00 registration fee (check payable to Arizona Corporation Commission) [See A.R.S. § 44-1861(A)(2)]
- $24.00 fingerprint processing fee (check payable to Arizona Corporation Commission.) Separate check from registration fee. [See A.R.S. § 44-1861(O)]
All of the above documents must be furnished at the time of the initial filing. Annual Registration Fee - $40.00 annual fee to retain registration (shall be remitted on or before the last working day of December) [See A.R.S. §§ 44-1861(A)(2) and 44-1947(B)]
Transfer of Registration Termination of Registration Applications for salesmen registration will be processed in accordance with the terms of A.A.C. R14-4-147. If you have any questions, please contact the Division at (602) 542-0326.
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