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Canadian Broker Dealers

State Covered Investment Advisers
and Associated Persons

Submit application through your employing broker/dealer to:

FINRA/Central Registration Depository

• Application Fee: $50

• Form: U-4, Uniform Application for Securities Industry Registration or Transfer

• Examination Requirements:

• Proof of passing, within two years of the date of application for registration, an appropriate examination relating to the position to be filled administered by a national securities association or a national securities exchange registered with the Securities and Exchange Commission; OR

• Evidence of effective registration, within the preceding two years, with a national securities association or national stock exchange registered with the Securities and Exchange Commission, relating to the position to be filled as principal or agent; OR

• Evidence of having remained continuously registered in the capacity to be filled with the State of Florida without interruption of more than 2 years.

For additional information regarding Qualification Examinations and examination scheduling, contact the FINRA at (301) 590-6500.

Requests for additional information:  When specifically requested, additional information shall be filed directly with the Office.