Sales Representative
An FINRA member broker-dealer seeking licensing of a sales representative in this state shall submit to the Central Registration Depository (CRD), P.O. Box 9401, Gaithersburg, MD 20898-9401, the following:
- Form U-4 with original signatures;
- Proof of passing the Series 63 or 66 exam and any other applicable exams required by the FINRA and the state of Nevada;
- A fee as determined by NRS 90.360, $110.00, and in the form of payment as prescribed by the CRD.
Sales Representatives seeking licensing as Agent of the Issuer, shall submit to the Division the following:
- A form U-4 with original signatures;
- Proof of passing the Series 63 or 66 exam;
- A fee as determined by NRS 90.360, $110.00.
Dual Licensing of Sales Representatives
A sales representative will be allowed to license concurrently with two broker-dealers only upon a finding by the Division that control and management of the broker-dealers are substantially identical. Refer to NAC 90.318, for instructions regarding requesting a waiver or no-action letter.
Renewal of Sales Representative License
Renewal is accomplished in the following manner:
- For sales representative NOT licensed with a FINRA member firm, applicants must submit a written request for renewal and the fee of $110.00 as required by NRS 90.360 prior to December 31st of each year.
- For sales representatives licensed with a FINRA member firm, applicants must submit the renewal fee of $110.00 as required by NRS 90.360 prior to December 31st of each year to the CRD.
For questions on the application of sales representatives, contact:
Terry Sanchez, Licensing Examiner
702-486-2440