Menu

Securities Licensing

Securities Licensing

Dominion has prepared this set of instructions to aid you in obtaining your Securities License. The following items must first be received at Dominion and submitted to FINRA before your registration will become effective:

1. A completed Form U-4*

2. Three completed fingerprint cards**

3. A signed U-4 Disclosure Statement

4. W-9

Special Instructions:
 
* When completing your U-4, please pay special attention to the following items:
 
Item 21: Item 21 requires disclosure of any non-investment related business interest. If you have any activities that require disclosure, please be thorough. If you are unsure whether an activity should be disclosed or not, please call. Items not disclosed can cause you problems in the future.
 
Item 23: Item 23 is a series of questions about previous criminal activity, regulatory actions, civil actions, customer complaints, terminations and financial information. Please be thorough in your disclosures and use the Disclosure Reporting page to explain any “yes” answers. If you have questions about the required information, please call and we will assist you.
 
** When completing your fingerprint cards please pay special attention to the following items:
 
FINRA requires a specific fingerprint card which Dominion will provide for you. FINRA will not accept a standard fingerprint card provided by your local law enforcement agency.
 
Please be aware of the quality of your fingerprints on your fingerprint card. Do not make any additional marks or highlights, etc. on the cards. If the FBI deems your fingerprint cards to be illegible, they will be rejected. You will have to submit a new set and pay the FINRA fee again.
 
3) Below is an example of some of the registration fees that you will incur:
 
FINRA
$110.00
Fingerprint Cards
$42.75 (first submission)
Processing Fee
$40.00
SRR
$95.00 (Special Review Request if you have checked "yes" to any question on section 23 of the U-4)
State Fees ***
_____ State fees are not permanently set and will vary.  Dominion will let you know an approximate cost.
Total
_____ Once your registration is approved with FINRA and States, Dominion will have your exact costs.  You will be invoiced for the total due.
 
*** State fees are renewable on a calendar year basis and are not pro-rated.
 
FINRA and OSJ fees are charged annually.

Dominion Investor Services,Inc.  Member FINRA and SIPC