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Non-FINRA or Issuer Securities Agents: How To Register
- Examination: The individual initially must be employed by a broker-dealer for sponsorship of him/her to take the appropriate exams required by the Federal Regulatory Agency. Michigan requires the Series 63 exam. Waivers may be granted for the following reasons:
- If the Series 66 exam was passed in lieu of the Series 63.
- If an agent was approved in the securities business prior to the Series 63 requirement going into effect, and has not been unregistered for a period of two or more years.
- If an agent passed the Series 63, and has been registered within the preceding two years in a state requiring the Series 63.
- If a non-FINRA agent was registered with a self-regulatory organization within the previous two years.
However, in order to grant the waiver our office must be notified of the agent's Series 63 deficiency by e-mail or fax at (517) 373-0549, ATTN: Securities Agent Registration.
- A Form U-4 completed and signed must be submitted to the address below.
- A $65.00 per agent check made payable to the State of Michigan must accompany the application.
- A Michigan fingerprint card must be completed and submitted. To obtain a card, contact Securities Agent Licensing at (877) 999-6442.
Michigan Department of Licensing & Regulatory Affairs
Office of Financial and Insurance Regulation
US Postal Address: PO Box 30701, Lansing, MI 48909-8201
Physical Address: Constitution Hall, 1st Floor North, 525 West Allegan Street, Lansing, MI 48933-1502
Please direct all payments to:
US Postal Address: PO Box 30165, Lansing, MI 48909-7724
Physical Address: State Office Secondary Complex, General Office Building, 7150 Harris Dr, Dimondale, MI 48821-5002