Texas TSSB Form 133.13 is the Uniform Application Supplement used by the Texas State Securities Board to register securities dealers, agents, investment advisers, and investment adviser representatives who already file Form U4 or Form ADV through the CRD/IARD systems operated by FINRA. The form captures Texas-specific disclosures, consents, and certifications that the federal Uniform Forms do not collect, and it must be signed under penalty of perjury under the Texas Securities Act (Title 12, Government Code, Chapters 4001–4008).
Filing the wrong version of Form 133.13, missing a disclosure, or failing to sign the consent block triggers a deficiency letter and stops your registration cold. According to the TSSB’s most recent annual report, roughly 1 in 5 first-time agent and IAR filings receive a deficiency notice on first review, and the average cure time is 14 business days when the applicant responds quickly.
- 📄 What Form 133.13 actually does and which Texas registrants must sign it
- 🧾 Every box, line, and signature block, walked through in plain English
- 🧑💼 Three full filer scenarios from start to finish, with sample entries
- 💵 Current fees, deadlines, and the 30-day amendment rule under 7 TAC §115.6
- ⚖️ The exact mistakes that trigger denial, suspension, or administrative penalties under Section 4007.105
What Form 133.13 Is and Who Must File It
Form 133.13 is the Texas State Securities Board’s Uniform Application Supplement, adopted under the authority of the Texas Securities Act and the TSSB Board Rules in 7 TAC Chapter 115 for dealers and agents and Chapter 116 for investment advisers and IARs. It is the bridge between the federal Uniform Forms (Form U4 for individuals, Form BD for dealers, and Form ADV for advisers) and Texas-specific consents that the Securities Commissioner requires before granting a registration.
Four groups of filers must sign Form 133.13. The first is any person applying to register as a securities dealer under §4004.051 of the Texas Securities Act. The second is any agent of a registered dealer. The third is any investment adviser not federally covered, and the fourth is any investment adviser representative tied to a state-registered or federal-covered firm doing business in Texas.
Filers who only make a notice filing as a federal covered adviser do not use Form 133.13. They use the related Form 133.15 instead. That distinction is the single most common reason a filing gets bounced back to the wrong queue at the TSSB Registration Division.
The form’s core function is to layer Texas requirements on top of the CRD/IARD record. It collects the Texas branch address, the Texas resident agent for service of process, fingerprint card certifications when required, and a sworn consent to the jurisdiction of Texas courts and the Securities Commissioner. The signature block on Form 133.13 is the legal hook that lets the Enforcement Division pursue an order of denial, suspension, or revocation under §4007.105 if the application is later found false.
Before You Start: Documents and Information You Need
Form 133.13 looks short, but you cannot complete it accurately without a stack of supporting records open in front of you. The form pulls data points that must match your CRD or IARD record character-for-character, and any mismatch creates a deficiency. Open your FINRA Gateway or IARD account before you start typing.
Below is the pre-filing checklist. Each item ties to a specific field on Form 133.13 and a specific consequence if missing.
- CRD or IARD number. This is the unique identifier that links your Texas filing to the federal record, and the TSSB will reject the form if the numbers do not match the CRD/IARD profile exactly.
- Full legal name as printed on your Social Security card or firm charter. A name mismatch between Form 133.13 and Form U4 triggers an automatic hold while the registration analyst confirms identity.
- Current residential address and business address in Texas. The Texas business address must be a physical street address; a P.O. Box alone causes a deficiency under 7 TAC §115.2.
- All Form U4 or Form ADV disciplinary disclosures. You must reaffirm these on Form 133.13, and any inconsistency between the two filings is treated as a material misstatement.
- Surety bond, if required. State-registered investment advisers with custody must post a $35,000 bond, and dealers must post a $5,000 bond under 7 TAC §115.4.
- Fingerprint card or electronic fingerprint receipt. Agents and IARs must have fingerprints on file with FINRA’s CRD fingerprint system.
- Exam scores or waiver documentation. Series 63, 65, or 66 scores, or a documented waiver under 7 TAC §115.3.
- Form 133.6 Consent to Service of Process. This separate one-page consent must be filed alongside Form 133.13 the first time a non-resident registers, available on the TSSB forms page.
- Filing fee payment. Either a CRD/IARD funded account balance or a check payable to the State Securities Board.
- Articles of incorporation or organization for firms. Required to verify the legal name and entity type for dealer or adviser applicants.
Missing any one of these items does not just slow the filing. It restarts the 30-day clock the TSSB uses for completeness review, which can push a planned start date back by weeks.
Where to Get the Form and How to Access It
The official, current version of Form 133.13 lives on the TSSB Securities Professionals Forms page. The agency posts the form as a fillable PDF with the revision date printed in the lower-left corner. As of this article’s update, the controlling version is the Rev. 09/2024 edition, and any earlier version will be rejected at intake.
You can also reach the form through the Texas Register when a new revision is adopted, because amendments to TSSB forms are published as part of the rulemaking record under Chapter 115 or Chapter 116. Filers who maintain a compliance library should bookmark both the forms page and the rule chapter so they can confirm form currency at the start of each registration cycle.
Hard copies are available by request from the TSSB’s Austin headquarters at 208 E. 10th Street, 5th Floor, Austin, Texas 78701. Walk-in pickup is allowed during business hours, and the Registration Division front desk will date-stamp a receipt copy if you bring a duplicate.
The form itself does not file through CRD or IARD. Even though Forms U4, BD, ADV, and ADV-W route through those systems, Form 133.13 is a Texas-only document that must be delivered directly to the TSSB. The most common delivery channel is U.S. mail, but in-person and courier delivery are accepted, and certain firms file through their compliance vendor’s electronic submission portal when the TSSB eFiling pilot covers their registration type.
Step-by-Step: How to Fill Out Form 133.13 Line by Line
The line-by-line walkthrough below mirrors the order on the Rev. 09/2024 PDF. Every box has its own subsection, and each subsection covers what the box asks, how to answer it, a real example, an edge case, the most common mistake with its consequence, and a misconception that trips up filers.
Box 1: Type of Application
The form opens by asking which registration category you are applying for. The choices are Dealer, Agent, Investment Adviser, or Investment Adviser Representative, with an additional checkbox for Amendment and one for Withdrawal.
To answer, check exactly one application-type box and one status box. Do not check both Initial and Amendment; they are mutually exclusive. The TSSB analyst routes the file based on this single field, so the rest of the form is read in light of the box you check.
For example, Maria Lopez, a new IAR joining a Houston RIA, checks Investment Adviser Representative and Initial. She leaves Amendment and Withdrawal blank.
The most common edge case is the dual-hat filer. If you register as both an agent of a dealer and an IAR of an affiliated adviser, you file two separate Form 133.13s. One form cannot cover two registration capacities.
The most common mistake is checking Amendment when you are really filing an initial registration after a lapse. The consequence is that the form is routed to the amendment queue, the initial fee is not collected, and the file sits dormant until staff manually reclassifies it.
A frequent misconception is that checking Amendment lets you skip the rest of the form. It does not. Amendments still require the full identifying section and a fresh signature.
Box 2: Full Legal Name of Applicant
Box 2 asks for the legal name of the individual or entity registering. For individuals, this is the name on your Social Security card. For firms, it is the name on the articles of incorporation or organization filed with the Texas Secretary of State.
Type or print the name in all capital letters. Use Last, First, Middle order for individuals and the exact entity name including LLC, Inc., or LP for firms.
For example, Carlos Rivera-Ortega writes RIVERA-ORTEGA, CARLOS ANTONIO. A firm named Lone Star Wealth Advisors, LLC writes LONE STAR WEALTH ADVISORS, LLC.
The edge case here is hyphenated or multi-part surnames. Enter the full surname exactly as it appears on government ID, including the hyphen, because the TSSB cross-checks the name against CRD records.
The most common mistake is using a nickname or DBA. The consequence is an automatic hold, because the registration cannot be issued in a name that does not match SSA or Secretary of State records.
The misconception is that suffixes like Jr. or III are optional. They are not optional when they appear on your Social Security card; omitting them creates a name mismatch.
Box 3: CRD or IARD Number
This box captures your unique identifier in the federal registration system. Agents and dealers use the CRD number; IARs and advisers use the IARD number, which for individuals is the same as the CRD number.
Type the number with no leading zeros and no spaces. The number must match the FINRA Gateway record exactly.
For example, Maria Lopez enters 6234187 in this box.
The edge case is a brand-new filer who has applied for but not yet received a CRD number. In that case, write PENDING and attach the FINRA filing receipt.
The most common mistake is transposing digits. The consequence is that the TSSB analyst cannot pull the CRD record, and the file is set aside until the applicant is contacted.
The misconception is that you can use the firm’s CRD number for an individual filing. You cannot. Each individual has a separate CRD number that must be used on the individual’s Form 133.13.
Box 4: Residential Address
Box 4 asks for the applicant’s home address. For firm filers, this box is left blank or marked N/A.
Enter a physical street address, city, state, and ZIP code. Do not abbreviate the state inconsistently with USPS standards, and do not enter a P.O. Box here.
For example, Carlos Rivera-Ortega writes 4421 Cedar Springs Road, Apt 12B, Dallas, TX 75219.
The edge case is a recent move. Enter the current address even if your driver’s license still shows the prior one, and update Form U4 within 30 days under FINRA Rule 1010.
The most common mistake is using a P.O. Box. The consequence is that the form fails the residency check used to determine whether Texas Securities Act §4004.052 bonding rules apply.
The misconception is that a co-working space counts as a residential address. It does not. The residence box requires where you actually live.
Box 5: Texas Business Address
Box 5 captures the address where the registrant will conduct securities business in Texas. This is the office that the TSSB Inspections and Compliance Division may visit during a routine examination.
Enter the full street address. If you operate from multiple Texas branches, list the principal Texas office and attach a schedule of additional branches.
For example, Lone Star Wealth Advisors, LLC writes 1500 McKinney Avenue, Suite 600, Houston, TX 77010.
The edge case is a remote-only IAR with no Texas office. Use the registered firm’s Texas branch address and note Home-based associated person on the attached schedule.
The most common mistake is listing an out-of-state headquarters here. The consequence is that the file is rejected because the TSSB cannot identify a Texas point of contact for examinations.
The misconception is that a virtual office is acceptable. It is acceptable only if mail is regularly retrieved and an authorized person is available during business hours.
Box 6: Disciplinary Disclosure Reaffirmation
Box 6 asks the filer to reaffirm every Yes answer on the Disclosure Reporting Pages of Form U4 or Form ADV, and to confirm there are no additional Texas-specific events that should be disclosed.
Check Yes if any DRP exists, No if none. If Yes, attach a Texas DRP supplement that explains each event in plain language.
For example, Janet Park, an IAR with a 2019 customer complaint settled for $7,500, checks Yes and attaches a one-page narrative summarizing the BrokerCheck record.
The edge case is an expunged event. Even if FINRA expunges an arbitration, the TSSB may still ask about the underlying facts under 7 TAC §115.6(c).
The most common mistake is checking No when a U4 DRP exists. The consequence is a possible referral to the Enforcement Division for material misstatement, which is grounds for denial under §4007.105.
The misconception is that minor traffic offenses do not count. Most do not, but DUI charges and any felony arrest must be disclosed regardless of disposition.
Box 7: Exam Status and Waiver Request
Box 7 captures Series 63, 65, or 66 exam pass dates, or a request for waiver under 7 TAC §115.3.
Enter the exam name, the date passed, and the score. If requesting a waiver, check the Waiver Requested box and attach the basis (CFA, CFP, ChFC, PFS, or CIC designation).
For example, Maria Lopez enters Series 65 — 11/14/2025 — Pass.
The edge case is a lapsed exam. Series exams expire two years after termination, and a returning IAR may need to retake or qualify for a waiver.
The most common mistake is leaving the date blank. The consequence is that the TSSB cannot verify exam currency and the file is held until the date is provided.
The misconception is that a passing score from another state automatically counts. It does, but only if the score is reflected in the CRD record; oral confirmation is not enough.
Box 8: Surety Bond Information
Box 8 asks whether a surety bond is required and, if so, the bond company, bond number, and bond amount. The dollar floor is set in 7 TAC §115.4.
Enter the carrier’s legal name, the policy number, and the amount in dollars. Attach a copy of the bond rider naming the State Securities Board as obligee.
For example, Lone Star Wealth Advisors, LLC, an adviser with custody, enters Travelers Casualty and Surety — Bond #105-998877 — $35,000.
The edge case is a firm that takes custody only through a qualified custodian. Custody through a qualified custodian under SEC Rule 206(4)-2 may eliminate the bond requirement, but the filer must still complete this box and write Not required — qualified custodian.
The most common mistake is forgetting to attach the bond rider. The consequence is a deficiency letter that pauses the registration even when the bond itself is in force.
The misconception is that the bond expires when the registration lapses. The bond must remain in force for the tail period required by Texas rule, typically three years after termination.
Box 9: Consent to Service of Process
Box 9 is the sworn consent that lets the Securities Commissioner accept legal process on the filer’s behalf. It is the legal hook that gives Texas courts jurisdiction over out-of-state registrants.
Read the consent paragraph carefully, then check the I Consent box and sign the adjacent line. If you are a non-resident, also file the standalone Form 133.6.
For example, Carlos Rivera-Ortega, a Dallas resident, checks I Consent and signs as Carlos A. Rivera-Ortega in blue ink.
The edge case is a firm officer signing on behalf of an entity. The signing officer must have actual authority, and a board resolution may be requested.
The most common mistake is leaving the consent unsigned. The consequence is that the entire registration is treated as incomplete, because consent is a statutory prerequisite under §4004.105.
The misconception is that consent can be withdrawn. It cannot be withdrawn for any cause of action arising during the registration period; it survives termination.
Box 10: Signature, Title, and Date
The final box is the signature, printed name, title (for firm filers), and date of execution. The signature is made under penalty of perjury.
Sign in ink, print the name below, add the title if applicable, and write the date in MM/DD/YYYY format.
For example, Janet Park signs, prints JANET PARK, leaves the title line blank because she signs as an individual, and dates the form 05/27/2026.
The edge case is electronic signature. The TSSB accepts e-signatures that comply with the Texas Uniform Electronic Transactions Act, but only when the firm’s compliance vendor transmits the form through an approved channel.
The most common mistake is dating the form before the supporting attachments are dated. The consequence is a deficiency, because attachments cannot pre-date a sworn application.
The misconception is that a typed name counts as a signature on a paper-filed form. It does not. Paper filings require a wet signature.
Three Filled-Out Examples Using Real Scenarios
The three scenarios below walk three different filers through Form 133.13 from start to finish. Each one shows what the named person enters in each major section.
Scenario 1: Maria Lopez, New IAR Joining a Houston RIA
| Form Section | What Maria Enters |
|---|---|
| Box 1: Type | Investment Adviser Representative — Initial |
| Box 2: Name | LOPEZ, MARIA ELENA |
| Box 3: CRD/IARD | 6234187 |
| Box 4: Residence | 812 Heights Boulevard, Houston, TX 77007 |
| Box 5: Texas Business | 1500 McKinney Avenue, Suite 600, Houston, TX 77010 |
| Box 6: Disclosures | No |
| Box 7: Exam | Series 65 — 11/14/2025 — Pass |
| Box 8: Bond | Not required — IAR, no custody |
| Box 9: Consent | I Consent — signed Maria E. Lopez |
| Box 10: Signature | Maria E. Lopez — 05/27/2026 |
Scenario 2: Carlos Rivera-Ortega, Out-of-State Broker-Dealer Agent
| Form Section | What Carlos Enters |
|---|---|
| Box 1: Type | Agent — Initial |
| Box 2: Name | RIVERA-ORTEGA, CARLOS ANTONIO |
| Box 3: CRD/IARD | 4998221 |
| Box 4: Residence | 4421 Cedar Springs Road, Apt 12B, Dallas, TX 75219 |
| Box 5: Texas Business | 2200 Ross Avenue, Suite 4400, Dallas, TX 75201 |
| Box 6: Disclosures | Yes — see attached DRP supplement |
| Box 7: Exam | Series 63 — 03/02/2024 — Pass |
| Box 8: Bond | $5,000 — Hartford Fire Ins. — Bond #BD-22914 |
| Box 9: Consent | I Consent — signed Carlos A. Rivera-Ortega |
| Box 10: Signature | Carlos A. Rivera-Ortega — 05/27/2026 |
Scenario 3: Lone Star Wealth Advisors, LLC, State-Registered RIA Firm With Custody
| Form Section | What the Firm Enters |
|---|---|
| Box 1: Type | Investment Adviser — Initial |
| Box 2: Name | LONE STAR WEALTH ADVISORS, LLC |
| Box 3: CRD/IARD | 310557 |
| Box 4: Residence | N/A — entity filer |
| Box 5: Texas Business | 1500 McKinney Avenue, Suite 600, Houston, TX 77010 |
| Box 6: Disclosures | No |
| Box 7: Exam | N/A — firm; IARs separately registered |
| Box 8: Bond | $35,000 — Travelers Casualty and Surety — Bond #105-998877 |
| Box 9: Consent | I Consent — signed by Managing Member Aisha Brown |
| Box 10: Signature | Aisha Brown, Managing Member — 05/27/2026 |
Beyond these three named filers, the article also references Janet Park, an IAR reaffirming a 2019 disclosure, and Marcus Greene, a sole-proprietor adviser submitting his very first Form 133.13 in conjunction with a fresh Form ADV. Each named filer faces a different field-level pressure point, and their stories appear throughout the line-by-line section above.
How to File the Completed Form
Form 133.13 is filed directly with the Texas State Securities Board Registration Division. Unlike Form U4 or Form ADV, it does not route through CRD or IARD; the supplement is a Texas-only delivery.
The first filing channel is U.S. mail. Send the signed original, all attachments, and the filing fee to Texas State Securities Board, P.O. Box 13167, Austin, TX 78711-3167. Expect 10 to 15 business days for the analyst to open, scan, and assign the file. Keep a USPS Certified Mail receipt as proof of filing.
The second channel is in-person delivery to the agency’s headquarters at 208 E. 10th Street, 5th Floor, Austin, Texas 78701. The front desk will date-stamp a duplicate copy as your proof of filing. In-person delivery shortens intake to one to two business days.
The third channel is courier delivery through FedEx, UPS, or a local courier. Use the street address rather than the P.O. Box, and require a signature on delivery. Save the courier tracking confirmation as proof of filing.
The fourth channel is CRD/IARD-funded fee payment paired with a paper Form 133.13. The fee itself routes through CRD or IARD as part of the U4/ADV filing, while the Form 133.13 paper supplement is mailed or delivered. This is the most common pattern for firm-affiliated filers.
Current fees are anchored in 7 TAC §115.1 and 7 TAC §116.1. Dealer registration is $75, agent registration is $35, investment adviser registration is $75, and IAR registration is $35. Fees are non-refundable, and underpayment is treated as a deficiency.
Accepted payment methods include CRD/IARD account drawdowns, business checks, cashier’s checks, and money orders payable to State Securities Board. The agency does not accept cash for mail-in filings, and personal checks are accepted only when drawn on a U.S. bank.
What Happens After You File
After Form 133.13 reaches the Registration Division, an analyst opens the file, runs the CRD or IARD comparison, and either advances the file to the Securities Commissioner or issues a written deficiency letter. The 30-day completeness clock under §4004.057 begins ticking the day the file is logged in.
If the file is clean, the registration order issues by mail. The order shows the effective date and the Texas registration number, which is distinct from the CRD or IARD number and is needed for any future correspondence with the agency.
If there is a deficiency, the letter lists each defect by box number. You have 60 days to cure under 7 TAC §115.6; failure to cure terminates the application and forfeits the fee.
After approval, the registrant carries an ongoing duty to amend Form 133.13 within 30 days of any change to the information on the form. The amendment is filed on the same Form 133.13, with the Amendment box checked and only the changed fields completed. Failure to amend on time is a stand-alone violation under §4004.054.
Renewals run through the CRD/IARD year-end renewal cycle, and most filers do not refile Form 133.13 at renewal unless a fact has changed. The registration year ends December 31, and the renewal window opens in early November.
Mistakes to Avoid When Filling Out the Form
The mistakes below are drawn from the TSSB’s annual deficiency reports and the agency’s published enforcement orders. Each one carries a specific consequence.
- Filing the wrong revision. Older PDFs are bounced at intake, restarting your timeline.
- Checking both Initial and Amendment. The form is set aside until the analyst reaches the filer for clarification.
- Using a P.O. Box in Box 4 or Box 5. The address fails residency or branch verification under 7 TAC §115.2.
- Mismatching the legal name. A name that does not match SSA or the Secretary of State triggers an automatic identity hold.
- Transposing the CRD or IARD number. The analyst cannot pull the federal record, and the file pauses.
- Failing to attach the surety bond rider. The application is treated as incomplete even if the bond is otherwise in force.
- Checking No on Box 6 when a U4 DRP exists. This is treated as a material misstatement and may trigger denial under §4007.105.
- Leaving the consent block in Box 9 unsigned. Consent is statutorily required, so the entire filing fails.
- Dating the form before the attachments. Attachments cannot pre-date a sworn application, so the analyst rejects the package.
- Underpaying the filing fee. Fees are non-refundable, and short payments halt the file.
- Submitting Form 133.13 through CRD when it should be mailed to the TSSB. The federal system does not transmit it, and the agency never receives the supplement.
- Forgetting Form 133.6 for non-resident filers. Without it, the consent record is incomplete.
Each mistake above is preventable with a simple checklist review before sealing the envelope. The cost of any one of them is days or weeks of delay, and in the disclosure-related cases, possible enforcement exposure.
Do’s and Don’ts
Use the list below as your final pass before filing.
- Do confirm the form revision date matches the current version on the TSSB forms page, because the agency rejects superseded versions on sight.
- Do match every name, address, and disclosure entry to the CRD or IARD record character-for-character to avoid an identity hold.
- Do keep a complete copy of the signed form and all attachments, because you will need them at your next TSSB examination.
- Do sign and date in blue ink on paper filings so the original is visually distinguishable from copies.
- Do track the 30-day amendment clock for any post-filing change, because late amendments are independently actionable.
- Do use Certified Mail or a tracked courier so you have proof of filing if the agency cannot locate the file.
The don’ts are equally important.
- Don’t route Form 133.13 through CRD or IARD; it is a Texas-only paper filing.
- Don’t sign on behalf of another person without documented authority, because the signature is sworn under penalty of perjury.
- Don’t check No on the disclosure box without first re-reading every U4 or ADV DRP.
- Don’t mail the form without the filing fee or the CRD/IARD funding confirmation.
- Don’t assume an expungement removes a TSSB-level disclosure obligation.
- Don’t wait until December to file an amendment that arose in October; the clock is 30 days, not year-end.
Pros and Cons of Filing on Your Own vs. With Help
Many filers complete Form 133.13 without outside help, and many use a compliance vendor or securities lawyer. Each path has trade-offs.
Pros of filing on your own:
- You save the $300–$1,200 typical compliance-vendor fee, which matters for solo IARs and small RIAs.
- You learn the form deeply, which improves later amendments and exam responses.
- You control the timing of every step, with no vendor backlog.
- You build a direct relationship with the TSSB Registration Division, which makes future contacts easier.
- You keep sensitive disclosure information in-house rather than sharing with a third party.
Cons of filing on your own:
- You bear all the risk of a defective filing, including possible enforcement exposure.
- You may miss subtle interactions between Form 133.13, Form U4, and Form ADV that an experienced filer spots.
- You spend hours that could be spent on client work or business development.
- You may file the wrong revision because you do not monitor the Texas Register for rule updates.
- You lose the audit trail a compliance vendor maintains automatically.
For most one-person shops, self-filing is workable when paired with a careful checklist. For multi-state firms or filers with disclosure events, vendor or counsel support pays for itself.
Form 133.13 vs. Related Texas Filings
| Filing | When It Is Used |
|---|---|
| Form 133.13 — Uniform Application Supplement | Used by dealers, agents, IAs, and IARs filing initial or amendment registrations under Chapter 115 or Chapter 116 |
| Form 133.6 — Consent to Service of Process | Used by non-resident filers to appoint the Securities Commissioner as agent for service |
| Form 133.15 — Federal Covered Adviser Notice Filing | Used by SEC-registered advisers making a Texas notice filing only |
| Form U4 — Uniform Application for Securities Industry Registration | Filed through CRD for individual agents and IARs |
| Form ADV — Uniform Application for Investment Adviser Registration | Filed through IARD for adviser firms |
FAQs
Is Form 133.13 the same as Form U4?
No. Form U4 is the federal Uniform Application filed through CRD. Form 133.13 is a Texas-only paper supplement that adds Texas consents and disclosures on top of the U4 record.
Do federal covered advisers file Form 133.13?
No. SEC-registered advisers making a Texas notice filing use Form 133.15 instead, because federal preemption limits Texas to a notice filing only.
Can I e-sign Form 133.13?
Yes. Electronic signatures are accepted when transmitted through an approved compliance vendor channel that complies with the Texas Uniform Electronic Transactions Act.
What is the filing fee for an IAR using Form 133.13?
Yes, there is a fee. The IAR fee is $35 under 7 TAC §116.1, funded through the IARD account or by check.
Do I write my maiden name or married name in Box 2?
Yes, use the name on your Social Security card. If your SSA record shows your married name, use that; if it still shows your maiden name, use that, and update SSA before changing the form.
Can I list a P.O. Box in the Texas business address field?
No. Box 5 requires a physical street address so that TSSB examiners can find the office during a routine inspection.
What goes in Box 7 if I am claiming a CFP-based exam waiver?
Yes, check Waiver Requested and write CFP — waiver under 7 TAC §115.3. Attach the current CFP certification letter as proof of designation.
What happens if I check No in Box 6 by mistake?
No, you cannot just amend later without consequence. A misstatement is grounds for denial under §4007.105, even if you correct it after the agency questions you.
Is the consent in Box 9 revocable?
No. Consent to service of process is irrevocable for any cause arising during the registration period and survives termination.
Does Form 133.13 expire?
No, the form itself does not expire, but registration must be renewed annually through the CRD/IARD year-end cycle, and amendments must be filed within 30 days of any change.
Do I refile Form 133.13 every year at renewal?
No. Renewals run through CRD or IARD funding. You only refile Form 133.13 if a fact on the form has changed.
Can a paralegal or assistant sign Form 133.13 for me?
No. The signature is sworn under penalty of perjury and must be made by the applicant or, for firms, by an officer with documented authority.
How long does the TSSB take to process a clean Form 133.13?
Yes, there is a target window. A clean file typically issues within 14 to 21 business days under the 30-day clock in §4004.057.
What is the penalty for filing a false Form 133.13?
Yes, the penalties are severe. Under §4007.105, administrative fines, denial, suspension, or revocation of registration are all available, and criminal referral is possible for willful misstatements.
Related reading
- How to Fill Out Texas Form 808 (w/Examples) + FAQs
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