FILING ONLINE

Many states have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which you are seeking registration for additional clarification.

Helpful links regarding dual registrations:

• NASAA's IARD: IA/BD Exemption Chart
• NASAA's State Office Listing
• IA Representative State Registration Fee Schedule
• FINRA's CRD Web Pages for Broker-Dealer Information