The FINRA annual renewal charges for 2019 will be charged to your commission on the pay cycle beginning February 11.
As a reminder, we will be passing along your registration and branch renewal fees, charged by FINRA, with no markup.
Individual Renewal fees include:
- State Securities Fees (varies by state)
- State IA Registration Fees (varies by state)
- Annual Registration Fee: $45
- FINRA Advisor Fee: $130*
- IA Rep Processing Fee: $10
An Annual FINRA Branch Office Renewal fee of $150 and a $20 FINRA Branch Processing fee will be charged to the supervisor or person-in-charge of any active branch office.
*Note: Registered Assistants will not be charged the $130 FINRA Advisor Fee.