A Form U-5 should be
submitted directly to our office.
Within two years from the date of termination, the agent must become registered
in Michigan or a state which requires a Series 63 (or Series 66) exam, or the
agent will be required to retake the Series 63 exam. At the time of application,
Non-FINRA and Issuer Agents should submit evidence of passing the exam or registration
in another state.
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