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Agent Registration Requirements
Online Application
Each applicant for registration as an agent in Kansas shall complete Form U-4 in accordance with the form instructions and file with the Central Registration Depository (CRD). The registration fee for each agent is $60 as specified by K.A.R. 81-3-2(b).

Examination Requirements
An individual applying to be registered as an agent of a broker-dealer in Kansas shall provide the commissioner with proof of obtaining a passing score on the following examinations:
  • Series 63 - The Uniform Securities Agent State Law Examination; or the
  • Series 66 - Uniform Combined State Law Examination; and
  • One other examination approved by the administrator and required for registration with Financial Industry Regulatory Authority (FINRA)

Examination Waivers for Lapsed Registrations
Our office no longer recognizes the FINRA Series 7 exam waiver as the primary justification for waiving that exam in Kansas.  If an applicant has re-taken the Series 63 or Series 66 and received a Series 7 waiver by FINRA, our staff will review the applicant’s CRD/IARD record with regard to their professional education, industry experience, disclosure, and other related information to determine if a Series 7 waiver will be granted. 

K.S.A. 17-12a412(e), allows for an order to be issued under the act that may waive, in whole or in part, an examination as to an individual if the administrator determines the examination is not necessary or appropriate in the public interest and for the protection of investors.

The staff review may result in a referral to the Securities Commissioner for consideration and decision.  Additional information in support of the waiver may be provided by the individual or the firm, however, it is not required prior to review unless specifically requested by our office.  No waivers will be granted absent an Order signed by the Commissioner.

Updates to Form U-4
All individual updates and amendments to Form U-4 shall be filed with the CRD in accordance with the instructions to Form U-4 and filed within 30 days of the event that requires the filing of an amendment.