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Fees and Expenses
Whether you are currently registered with another broker dealer or new to the
business, Princor helps make your transition as smooth as possible.
Registration fees
The following fees apply when you join Princor:
|
FINRA registered reps transferring
your registration to Princor:
|
Registered reps not currently
registered with the FINRA
|
| Base Fee |
$200. Covers the FINRA registration fee, FINRA termination
fee, and FBI fingerprint submission fee. |
$200. Covers the FINRA registration fee and FBI fingerprint
submission fee. |
| State Registration Fees |
Varies by state. Both resident and non-resident. |
Varies by state. Both resident and non-resident. |
| Miscellaneous Fees |
$95. If you answer "yes" on page 3 of the
Form U-4. Covers FINRA Special Registration Review. |
$95. If you answer "yes" on page 3 of the
Form U-4. Covers FINRA Special Registration Review. |
| Continuing Education/Exam Fees |
$75. FINRA continuing education tutorial fee, if applicable.
|
- $75. Series 6
- $82. Series 63
- $250. Series 7
- $120. Series 65
- $113. Series 66
- $75. Series 26
- $95. Series 24
(Study materials cost extra)
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Available study options
Take advantage of several study options available to you at www.kaplanfinancial.com.
Renewal fees
The only fees you'll be assessed annually (unless using other services such
as errors and omissions coverage or software training) are:
- FINRA and state renewal fees
- FINRA tutorial fees (done every three years) and fees for additional exams
you pursue
- If you're a member of our Princor Corporate RIA program, your state may
charge an annual RIA fee
Errors and omissions (E&O) insurance
All Princor registered representatives are required to carry professional liability
insurance with coverage for investment products. You have two options:
- Purchase the E&O policy available through Princor
- Provide proof of existing E&O coverage with another insurance provider
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