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Securities Licensing

Securities Licensing

The following items are needed in order to register you with FINRA and State(s):

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 13: Other Business - requires disclosure if you are engaged in any other business. Please call Dominion's Compliance Department if you have questions.
 
Item 14: Disclosure Questions - please use the Disclosure Reporting page(s) to explain any “yes” answers. Please call Dominion's Compliance Department if you have questions.
 
** 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 do not make any additional marks or highlights, etc. on the cards. The fingerprint rule requires that 3 attempts must be made before your fingerprint cards are deemed illegible. 
 
Below is an example of some of the registration fees that you will incur:
 
FINRA
$100.00
Fingerprint Cards
$40.00 (first submission)
Processing Fee
$40.00
SRR
$110.00 (Special Review Request if you have checked "yes" to any question on section 14 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