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) 241-6356, 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 (517) 241-6345.
Corporations, Securities and Commercial Licensing Bureau
(Please note: Mail/Packages should not be sent to this address)
PO Box 30701
Lansing, MI 48909
2501 Woodlake Circle,
Okemos, MI 48864
Corporations, Securities& Commercial Licensing
7150 Harris Drive
Diamondale MI 48821