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FINRA Broker Dealer Registration
West Virginia is a CRD phase II participant. All Broker-Dealer applications and agent fees are paid through the CRD. T
he Broker/Dealer fee is $250 and the Agent fee is $80 (renewal fee is $65). Please note: The annual filing of financial
statements is “not” required, (upon request only).
Initial registration submitted to this office
requires the following:
- An Audited Financial Statement, prepared within 45 days of filing, indicating net capital and attested to
by a principal of the firm. If unavailable, submit the most recent focus report.
- A copy of the latest available Annual Financial Statement indicating net capital, if available.
- Please provide a Fax number.
Branch Offices
Schedule E listing branch office in West Virginia.
Registration Fee of $50 per branch - payable to the West Virginia State Auditor.
All registrations expire on December 31st.
Agents
Examinations: Series 63 and one other; or Series 66.
Note: Agents must be registered or qualified to engage in the securities industry in the state of the agent’s
principal place of business.(Rev.9/00)
For further information, please contact the West Virginia Securities Commission at 304.558.2257
Disclaimer
The West Virginia Securities Commission uses links to other Web sites for the convenience of the user. Whenever you
click on links provided, you are leaving the West Virginia Securities Commission and entering an external site. The
Security Commission cannot attest to the accuracy of the information provided by the external linked sites, nor does
the Securities Commission endorse any products or information obtained from these external sites.
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