Securities Agent

Exam

Third-party exam

Education

Specific course

Experience

Experience

Background check

Not reported

SECURITIES AGENT<br><br> An individual who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities from, in, or into this state.<br><br>REQUIREMENTS: <br>1. A Form U4 and all information and exhibits required by such form; <br>2. The appropriate application fee as set forth by the Act; <br>3. Satisfactory evidence of a passing score by the applicant on the appropriate examinations; and<br>4. Such other information as the Division may request of a particular applicant to determine eligibility for registration.<br><br>EXAMINATION REQUIREMENTS: <br>1. An examination administered by FINRA or the SEC which tests the applicant's general knowledge of securities principles; and<br>2. The Uniform Securities Agent State Law Examination (USASLE/Series 63) or the Uniform Combined State Law Examination (UCSLE/Series 66) as either is administered by FINRA.<br><br>RENEWAL REQUIREMENTS: <br>Every registration expires annually, unless timely renewed, on December 31 of each year. All agents who are eligible must apply for renewal of registration in Tennessee through the CRD System by complying with the requirements of the CRD System. Applications for renewal of all other agents must be submitted directly to the Division and must contain the following:<br><br>1. The appropriate renewal form as received from the Division and all information and exhibits required by such form; and<br>2. The appropriate fee as set forth in the Act.