New Jersey Securities License Requirements Guide
Understand New Jersey's securities license requirements for broker-dealers, investment advisers, and agents. Learn about application, exams, fees, and compliance in NJ.
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To sell securities, manage investments, or operate a firm that does so in New Jersey, you must register with the NJ Bureau of Securities. This process includes submitting firm and individual applications, passing FINRA exams, and maintaining ongoing compliance. Specific details and legal citations are not provided in the legislative source material.
Quick Answer: New Jersey Securities Licensing Overview
Individuals and firms conducting securities activities in New Jersey must register with the New Jersey Bureau of Securities. This applies to broker-dealers, investment advisers, and their associated agents and representatives. Registration typically uses FINRA's Central Registration Depository (CRD) for broker-dealers and agents, and the Investment Adviser Registration Depository (IARD) for investment advisers and their representatives. Passing FINRA-administered exams is usually required. This often includes the Securities Industry Essentials (SIE) exam, a qualification exam (like Series 7), and a state law exam (like Series 63 or Series 66). New Jersey has its own "blue sky" laws, meaning state-level registration requirements apply alongside federal SEC obligations. Federal covered advisers, though registered with the SEC, generally must still file notice with the New Jersey Bureau and pay state fees.
Who Needs a Securities License in New Jersey?
Broker-Dealers
A broker-dealer is typically any person in the business of executing securities transactions for others or for their own account. Broker-dealers transacting business with New Jersey
Sources & Verification (5)
- Investment Advisers Act of 1940 (15 U.S.C. §80b-1 et seq.) — federal IA registration framework; firms under $100M AUM generally state-registered (NSMIA §203A).
- Securities Exchange Act of 1934 (15 U.S.C. §78a et seq.) — broker-dealer regulation, anti-fraud, and SEC supervisory authority.
- National Securities Markets Improvement Act of 1996 (NSMIA, Pub. L. 104-290) — preempts state registration of federal covered advisers and securities; states retain anti-fraud.
- Uniform Securities Act (NASAA model) — adopted with variations by most states; governs IAR registration, blue sky filings, and exemptions.
- FINRA Series 65 / 63 / 66 / 7 — uniform state and federal exams administered via Prometric; pass scores and content outlines published by NASAA/FINRA.
Last verified: June 7, 2026
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- Series 65 Exam Prep — Investment Adviser LawThe most common path to becoming a Registered Investment Adviser Rep in any state. Covers Uniform Securities Act, fiduciary duty, and fraud prevention.
- Series 66 Exam Prep — Combined State LawCombines Series 63 + 65 into a single test for candidates already holding Series 7. Required in most states for IAR registration.
- Series 7 Exam Prep — General Securities RepFINRA's broker-dealer rep license. Required by every state before selling general securities. Recently revised for the post-2018 split format.
- Investment Adviser Compliance Manual — Form ADV & CustodyHow to navigate the SEC/state Form ADV split, custody rule, and code of ethics. The reference RIA firms hand new compliance hires.