Text Resize

-A +A
Bookmark and Share

Initial Licensing of Broker-Dealer Agents

A. FINRA Members:

A Form U-4, the Uniform Application for Securities Industry Registration or Transfer, and the license application fee must be submitted to the Web CRD for all persons who will work as Agents of a Broker-Dealer. The fee for each agent is $45.00. Please visit FINRA’s website for guidance and instructions regarding filing of Form U-4.

Generally, an applicant for a Broker-Dealer’s Agent’s license must pass a securities examination tailored to the specific securities product he or she will sell or purchase. This is required for a Broker-Dealer Agent License. Under certain circumstances, an individual may not be required to take a securities examination. Please call (202) 442-4934 or write the Securities Bureau for further information at:
Department of Insurance, Securities and Banking
Securities Bureau
Attn: Maurice Goff, Assistant Director, Licensing Division
810 First Street, NE, Suite 610
Washington, DC 20002

B. Non-FINRA Members:

A Form U-4, the Uniform Application for Securities Industry Registration or Transfer, and the license application fee must be submitted to the DISB Securities Bureau’s Lock Box for each person who seeks to be licensed as an Agent of a Broker-Dealer. The fee for each agent is $45.00 and a one-time $50.00 fingerprint processing fee. Please visit FINRA’s website to obtain Form U-4.

Generally, an applicant for a Broker-Dealer’s Agent’s license must pass a securities examination tailored to the specific securities product he or she will sell or purchase. Under certain circumstances, an individual may not be required to take a securities examination. Please call (202) 442-4934 or write the Securities Bureau for further information at:
Department of Insurance, Securities and Banking
Securities Bureau
Attn: Maurice Goff, Assistant Director, Licensing Division
810 First Street, NE, Suite 610
Washington, DC 20002

On behalf of the Broker-Dealer Agent, the firm must contact Fieldprint, Inc., to submit their fingerprint card.  The fee for processing the fingerprint card is $50.00 which must be made payable to Fieldprint (in addition to the $45.00 licensing fee that must be submitted to DISB’s Lock Box address.)

Fieldprint office locations may be found on its website at: fieldprint.com. To access DISB’s fingerprinting services at Fieldprint, enter DISB code – FPDOISecBank.