Authority to operate as a Securities Salesman in North Carolina.
Annually
GS 78A-37 b
Initial Registration: Pass either the Series 63 exam, or a combination of the Series 7 and Series 66 exams. File Form U4 electronically through the CRD system. Pay filing fee per salesman. Fees are paid through CRD system. Submit any other information requested by the Securities Division. North Carolina does not permit dual registration. No salesman may be registered with more than one dealer.
The Registration Of A Salesman Is Not Effective During Any Period When He Is Not Associated With A Registered Dealer. There Are Transaction Exemptions That Could Exempt A Salesman From Being Registered If He Is Involved In Only That Type Transaction. Exempt Transactions Are Under 78A-17.
NC Department of the Secretary of State
Securities Division
2 South Salisbury St
Raleigh, NC 27601-2903
919-814-5400