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Non-FINRA or Issuer Securities Agents: How To Register

Non-FINRA or Issuer Securities Agents: How To Register

  1. 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.

  1. A Form U-4 completed and signed must be submitted to the address below.
  1. A $65.00 per agent check made payable to the State of Michigan must accompany the application.

Send to:

Corporations, Securities and Commercial Licensing Bureau
Securities

Mailing Address:
PO Box 30018
Lansing, MI 48909

Street Address:
(Please note: Mail/Packages should not be sent to this address) 
2501 Woodlake Circle,
Okemos, MI 48864

Overnight Deliveries:
Corporations, Securities& Commercial Licensing
Securities
2407 N. Grand River Ave.
Lansing MI 49006