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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 s $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
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