Texas TSSB Form 133.7 is the Application for Registration as a Securities Agent or Investment Adviser Representative that the Texas State Securities Board requires from any individual who wants to sell securities or give investment advice while based in or soliciting clients in Texas. Filing it correctly is the difference between a clean approval and a stalled application that blocks your paycheck for weeks.
According to the Texas State Securities Board’s most recent annual report, the agency processed more than 200,000 securities professional registrations and renewals in a single fiscal year, and a meaningful share were delayed by paperwork errors on individual applications like Form 133.7. The current revision date printed on the form should always be checked against the version posted on the official forms page before you start, because the TSSB updates its forms without changing the form number.
This guide walks you through the form line by line, in plain English, with named examples and the exact consequences of each mistake.
- 📋 What Form 133.7 is, who must file it, and the statute that requires it
- 🗂️ Every document, ID number, and fee you must gather before opening the form
- ✍️ A field-by-field walkthrough using the exact box labels on the official form
- 👥 Three full filled-out scenarios using real-world filers
- ⚠️ The most common mistakes, the penalties they trigger, and how to avoid them
What Form 133.7 Is and Who Must File It
Form 133.7 is the individual registration application used by the Texas State Securities Board under the Texas Securities Act, now codified at Title 12 of the Texas Government Code, Chapters 4001–4008. The form registers a natural person — not a firm — as a securities dealer agent, an investment adviser representative, or both, depending on the boxes you check. The Securities Commissioner reviews each application under 7 TAC §115.2 for agents and 7 TAC §116.2 for investment adviser representatives.
You must file Form 133.7 if you sell securities for a registered dealer in Texas, if you give investment advice for a registered investment adviser in Texas, or if you act in either role for clients located in Texas while based out of state and you are not exempt under the de minimis rule in 7 TAC §116.1(b)(2). Federal-covered investment advisers still must register their representatives at the state level when those representatives have a place of business in Texas, per Section 203A of the Investment Advisers Act of 1940.
The form interacts with the FINRA Central Registration Depository (CRD) and the Investment Adviser Registration Depository (IARD). Most agents will already have a Form U4 on file in CRD, and the TSSB cross-checks Form 133.7 against that record. A mismatch — wrong CRD number, different home address, undisclosed disclosure event — triggers a deficiency letter that pauses your registration until you cure it.
The penalty for acting as an unregistered agent or representative is severe. Under Texas Government Code §4007.151, unregistered activity is a third-degree felony, and the Securities Commissioner can issue a cease-and-desist order, impose administrative fines, and bar the individual from future registration.
Before You Start: Documents and Information You Need
Gather every item on this checklist before you open the PDF. Missing data is the single biggest reason a Form 133.7 sits in the “deficient” pile at the Registration Division.
- CRD number. Your six- or seven-digit Central Registration Depository number from FINRA. Without it, the TSSB cannot match you to your Form U4, and the application is rejected on intake.
- Sponsoring firm CRD number. The dealer or investment adviser that will employ you. The firm must already be registered in Texas, or your application is held until the firm is registered.
- Government-issued photo ID. A current Texas driver license, state ID, U.S. passport, or permanent resident card. The name on the ID must match the name in Box 1 exactly.
- Social Security number. Required under Texas Government Code §4004.052 for identity verification and child-support cross-checks.
- Residential address history (5 years). Every street address, with no gaps. P.O. boxes are not acceptable for residence.
- Employment history (10 years). Including months of employment, employer addresses, and reason for leaving. Gaps must be explained as “unemployed” or “student.”
- Disclosure documents. Court records, regulatory orders, customer complaints, terminations, bankruptcies, or liens. Any “Yes” answer on the disclosure section requires a written explanation and certified copies of supporting documents.
- Examination scores. Series 6, 7, 63, 65, or 66 score reports from FINRA, plus any Texas-specific waiver letter if you qualify under 7 TAC §115.3.
- Fingerprint card. A completed FD-258 card or proof of electronic fingerprint submission through FINRA’s fingerprint program.
- Filing fee. A check or money order made payable to the Texas State Securities Board. The current fee schedule is published in 7 TAC §133.6 and is generally $75 for an agent of a dealer and $285 for an investment adviser representative.
If any item on this list is missing when the file lands at the TSSB Registration Division, the registration clock stops and you cannot legally transact business in Texas until the deficiency is cured.
Where to Get the Form and How to Access It
The official, fillable PDF of Form 133.7 lives on the TSSB Securities Professionals Forms page. Always download the form fresh each time you file, because the TSSB updates the revision date without changing the form number, and an outdated version will be rejected on intake. The revision date is printed in the lower-left corner of page 1.
You may also request a paper copy by writing to the Texas State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or by calling the Registration Division at (512) 305-8300. Allow 7–10 business days for mail delivery if you choose this route, which can put a year-end filing at risk.
Form 133.7 is not filed through the FINRA CRD/IARD systems — those systems route Form U4 and ADV data to states that participate in the central filing program, but Texas requires Form 133.7 as a separate, paper-filed cover application for the categories listed under 7 TAC §133.1. Filers routinely confuse this and assume CRD covers everything; it does not.
You can complete the PDF on screen using Adobe Acrobat Reader, Preview on Mac, or any modern browser, but you must print, sign in ink, and mail or hand-deliver the signed original. Electronic signatures are not accepted on Form 133.7 as of the current revision.
Step-by-Step: How to Fill Out Form 133.7 Line by Line
The form is short — usually four pages — but every box carries weight. Use a black pen if you are filling by hand. Type if you can; the TSSB scans every form, and handwriting that the OCR engine cannot read produces a deficiency letter.
Box 1 — Full Legal Name
The form asks for your full legal name in the order Last, First, Middle. Write your name exactly as it appears on your Social Security card, with any suffix (Jr., III) at the end of the first-name line, not the last-name line. Maria Elena Lopez-Garcia writes LOPEZ-GARCIA, MARIA, ELENA in block capitals.
If you go by a nickname or a common-law name on your driver license, do not use it here; use the legal name on your Social Security record. The TSSB cross-checks this field against SSA and FINRA CRD, and a mismatch as small as a missing hyphen will park your application in deficiency status. The most common mistake is dropping the middle name to save space, which causes a CRD mismatch and a 10-day delay while the examiner asks for a written correction. A common misconception is that the agency will “figure out” a nickname — it will not.
Box 2 — Other Names Used (AKAs)
This field captures every other name you have used: maiden names, prior married names, court-changed names, and professional pseudonyms. List each on its own line in the same Last, First, Middle order.
If you have never used another name, write NONE in the box. Leaving the box blank is treated as a non-response, not as a “no,” and triggers a deficiency. Janet Wilson, who was Janet Mae Carter before marriage, writes CARTER, JANET, MAE on line one. The most common mistake is forgetting a maiden name listed on a prior Form U4; the CRD record will flag the omission within 24 hours of intake. A common misconception is that only legally changed names count — any name used on a tax return, brokerage account, or court filing must appear here.
Box 3 — Date of Birth and Social Security Number
Enter your date of birth in MM/DD/YYYY format, including leading zeros. Enter your full nine-digit Social Security number with dashes, like 123-45-6789.
If your SSN is fewer than nine digits because of a typo on a prior filing, fix the prior filing first; do not “round” the number here. Marcus Thompson, born March 4, 1988, writes 03/04/1988 and 987-65-4321. The most common mistake is using a two-digit year (88 instead of 1988), which the OCR engine reads as 1988 about half the time and 2088 the rest, producing a hard rejection. A common misconception is that the SSN is optional because of privacy concerns — it is mandatory under Texas Government Code §4004.052.
Box 4 — Residence Address
Provide your current residential address: street number, street name, apartment or unit number, city, state, and ZIP+4. P.O. boxes are not allowed for residence; they are allowed only in the separate mailing-address box.
If you have moved within the last 30 days and your driver license still shows the old address, write the new residence here and attach a utility bill or lease as proof. Aisha Patel lives at 4501 Burnet Rd, Apt 12B, Austin, TX 78756-3210 and writes the address that way. The most common mistake is using a work address because the filer “doesn’t want clients knowing where I live”; this is treated as a false statement under 7 TAC §115.5 and can support a denial. A common misconception is that “residence” means voting address — it means the address where you actually sleep most nights.
Box 5 — Business Address
Enter the street address of the office from which you will conduct securities business in Texas. If you work from home, repeat your residence and check the “home office” box. If your firm has multiple branches, list the branch you are physically assigned to.
If your firm operates a “supervisory jurisdiction” but you sit at a satellite, list the satellite, not the OSJ. Carlos Rivera sits at 2200 Ross Ave, Suite 4800E, Dallas, TX 75201 and writes that address. The most common mistake is listing the firm headquarters in another state when the agent actually works from a Texas branch — this misroutes the examiner’s review and delays approval. A common misconception is that home-office filers can omit this field; you must repeat the residence and check the box.
Box 6 — Sponsoring Firm Information
This block asks for the firm’s full legal name, CRD number, and Texas registration number. Use the firm’s exact name as registered with the TSSB, not a “doing business as” name unless the DBA is the registered name.
If your firm is a federal-covered investment adviser, write the SEC file number (formatted 801-XXXXX) in the firm CRD field and check the “federal covered” box. Jennifer Nguyen writes Pinnacle Wealth Advisors, LLC, CRD 123456, Texas file number IA-12345. The most common mistake is using the parent company’s CRD instead of the registered subsidiary’s CRD, which causes the application to be matched to the wrong firm and approved against the wrong supervisor. A common misconception is that the firm CRD and the SEC file number are interchangeable — they are not, and using the wrong one triggers a deficiency.
Box 7 — Type of Registration Requested
Check exactly one or more of: Agent of a Dealer, Investment Adviser Representative, or Both. If you check “Both,” you owe both fees, not a discounted combined fee.
If you previously withdrew a registration and are reapplying, do not check “amendment”; check the new-registration box and explain the prior withdrawal in the disclosure section. David Kim checks Investment Adviser Representative only, because his firm is an RIA. The most common mistake is checking “Both” to “be safe” when the firm is only registered as a dealer; this triggers an automatic denial of the IAR portion. A common misconception is that one fee covers both categories — each category is priced separately under 7 TAC §133.6.
Box 8 — Examinations Passed
List every securities exam passed and the date of passing in MM/DD/YYYY format. Common entries include Series 6, Series 7, Series 63, Series 65, Series 66, Series 24, and Series 79.
If you are claiming a waiver based on a professional designation such as CFP, CFA, ChFC, PFS, or CIC, write WAIVER — [designation] and attach proof under 7 TAC §116.2(c). Aisha Patel writes Series 65 — 04/12/2023. The most common mistake is listing a Series 7 alone to qualify as an IAR; Texas requires Series 65 or 66 (or a recognized waiver) for the IAR category. A common misconception is that an expired exam (more than two years since last associated with a firm) still counts — under FINRA Rule 1210, it does not, and you must retake.
Box 9 — Disclosure Questions
This is a yes/no block that mirrors the Form U4 disclosure questions: criminal, regulatory, civil judicial, customer complaint, termination, financial, and investigation. Answer each “Yes” or “No” — never leave blank.
A “Yes” answer requires a written explanation on a separate sheet, certified copies of court or agency documents, and a statement of current status. Marcus Thompson, who had a 2014 misdemeanor DWI, checks Yes on the criminal question and attaches the judgment and proof of completed probation. The most common mistake is answering “No” because the matter was expunged; expungement does not erase the disclosure obligation under 7 TAC §115.6, and a missed disclosure is treated as a material misstatement that can support license denial. A common misconception is that only felonies count — many misdemeanors involving fraud, dishonesty, or breach of trust are reportable.
Box 10 — Signature, Notarization, and Date
Sign in ink, print your name beneath the signature, and date the form. Texas requires the signature to be notarized: a Texas notary public, or any notary recognized under the Uniform Notary Act in your home state, completes the jurat block.
If you sign before a notary outside Texas, the notary’s commission must be current and the seal legible. Maria Lopez-Garcia signs in blue or black ink, prints MARIA E. LOPEZ-GARCIA, dates 11/15/2026, and the notary affixes the seal. The most common mistake is signing without notarization or using an electronic signature; both result in the form being returned unfiled. A common misconception is that the firm’s compliance officer can sign on the applicant’s behalf — they cannot; the agent or IAR must sign personally.
Three Filled-Out Examples Using Real Scenarios
Scenario 1 — Aisha Patel, Solo Investment Adviser Representative
Aisha is a 31-year-old new hire at an Austin-based RIA. She passed her Series 65 last year and is registering for the first time.
| Form Section | What Aisha Enters |
|---|---|
| Box 1 — Full Legal Name | PATEL, AISHA, RANI |
| Box 2 — Other Names Used | NONE |
| Box 3 — DOB / SSN | 07/22/1994 / 555-22-9988 |
| Box 4 — Residence Address | 4501 Burnet Rd Apt 12B, Austin, TX 78756 |
| Box 5 — Business Address | 600 Congress Ave Ste 1400, Austin, TX 78701 |
| Box 6 — Sponsoring Firm | Lone Star Wealth Advisors, LLC — CRD 298765 — TX IA-22987 |
| Box 7 — Type of Registration | Investment Adviser Representative |
| Box 8 — Examinations | Series 65 — 04/12/2025 |
| Box 9 — Disclosures | All No |
| Box 10 — Signature | Signed in ink, notarized 11/03/2026 |
| Filing Fee | $285 check payable to Texas State Securities Board |
Scenario 2 — Marcus Thompson, Securities Agent at a Dealer
Marcus is a 38-year-old broker moving from a Dallas firm to a Houston firm. He has a 2014 misdemeanor DWI on his record.
| Form Section | What Marcus Enters |
|---|---|
| Box 1 — Full Legal Name | THOMPSON, MARCUS, ANTHONY |
| Box 2 — Other Names Used | NONE |
| Box 3 — DOB / SSN | 03/04/1988 / 444-11-7766 |
| Box 4 — Residence Address | 812 Heights Blvd, Houston, TX 77007 |
| Box 5 — Business Address | 1000 Louisiana St Ste 5500, Houston, TX 77002 |
| Box 6 — Sponsoring Firm | Bayou Securities, Inc. — CRD 145678 — TX BD-14567 |
| Box 7 — Type of Registration | Agent of a Dealer |
| Box 8 — Examinations | Series 7 — 06/18/2012; Series 63 — 07/02/2012 |
| Box 9 — Disclosures | Yes on criminal — attaches DWI judgment and probation completion |
| Box 10 — Signature | Signed in ink, notarized 11/10/2026 |
| Filing Fee | $75 check payable to Texas State Securities Board |
Scenario 3 — Jennifer Nguyen, Out-of-State IAR with a Texas Branch
Jennifer is a 45-year-old IAR based in Oklahoma whose firm just opened an El Paso office. She will split time between the two states.
| Form Section | What Jennifer Enters |
|---|---|
| Box 1 — Full Legal Name | NGUYEN, JENNIFER, LAN |
| Box 2 — Other Names Used | TRAN, JENNIFER, LAN (maiden) |
| Box 3 — DOB / SSN | 09/30/1981 / 333-55-1122 |
| Box 4 — Residence Address | 2200 NW 50th St, Oklahoma City, OK 73112 |
| Box 5 — Business Address | 221 N Kansas St Ste 700, El Paso, TX 79901 |
| Box 6 — Sponsoring Firm | Pinnacle Wealth Advisors, LLC — SEC 801-77654 — federal covered |
| Box 7 — Type of Registration | Investment Adviser Representative |
| Box 8 — Examinations | Series 66 — 05/05/2010 |
| Box 9 — Disclosures | All No |
| Box 10 — Signature | Signed in ink, notarized in Oklahoma 11/18/2026 |
| Filing Fee | $285 check payable to Texas State Securities Board |
How to File the Completed Form
You have three filing channels. Each comes with its own fee, processing time, and proof-of-filing record.
By mail. Send the signed, notarized original plus all attachments and the fee check to Texas State Securities Board, Registration Division, P.O. Box 13167, Austin, TX 78711-3167. Use USPS Certified Mail with Return Receipt, or a tracked carrier like FedEx or UPS — but note that overnight carriers cannot deliver to a P.O. Box, so use the street address 208 E. 10th Street, 5th Floor, Austin, TX 78701 for those carriers. Processing time is typically 10–15 business days from receipt. Keep the green return-receipt card or the tracking confirmation as proof of filing.
In person. Walk the package into the TSSB office at 208 E. 10th Street, 5th Floor, Austin, Texas 78701, between 8:00 a.m. and 5:00 p.m. Central Time on regular business days. The intake clerk will date-stamp a copy of page 1 as your proof of filing. Same-day intake review is sometimes possible; full review still takes 5–10 business days.
By overnight carrier. Same processing time as mail, but you bypass the P.O. Box delay. Payment must still be by check or money order; the TSSB does not accept credit cards or cash for Form 133.7 filings.
The TSSB does not currently accept Form 133.7 by fax, email, or upload. Filers who try to email the form receive an automated reply directing them to mail or in-person filing.
What Happens After You File
The Registration Division logs your form into its tracking system within two business days of receipt and assigns it to a registration examiner. The examiner pulls your CRD and IARD records and compares them line by line to Form 133.7. If everything matches, you move to “approved pending fee clearance,” and the check clears in another 3–5 business days.
If the examiner spots a mismatch, missing attachment, or unexplained disclosure, you receive a deficiency letter by email or mail. You typically have 30 days to cure under 7 TAC §115.4; failure to cure results in withdrawal of the application and forfeiture of the fee.
Once approved, your registration is effective immediately and runs through December 31 of the calendar year. Renewal is separate, governed by 7 TAC §115.7, and is generally swept through CRD/IARD’s annual renewal program rather than through Form 133.7 again.
You may not transact securities business in Texas until you receive the written notice of effectiveness from the Securities Commissioner. Acting before approval is unregistered activity and a violation of Texas Government Code §4007.151.
Mistakes to Avoid When Filling Out the Form
- Using an outdated revision of the form. The TSSB rejects older versions, costing you 7–10 days while a new packet travels by mail.
- Mismatched legal name. Any difference between Box 1 and your SSA record triggers a hard deficiency.
- Leaving Box 2 (AKAs) blank. A blank box is not a “no”; write NONE or list the prior names.
- Two-digit years in dates. OCR misreads them and may date-stamp your application 60+ years off.
- Wrong sponsoring firm CRD. Your application gets attached to the wrong supervisor and is approved against the wrong firm — or denied.
- Checking “Both” categories without dual fees. Your IAR portion is denied for non-payment.
- Listing only Series 7 for IAR registration. Texas requires Series 65 or 66 or a recognized waiver.
- Answering “No” to a disclosure question on an expunged matter. Expungement does not erase the disclosure duty.
- Electronic signature. The TSSB requires a wet ink signature on Form 133.7.
- Forgetting the notary. An un-notarized form is returned unfiled, and the fee is returned with it.
- Wrong payee on the check. Make it payable to Texas State Securities Board — not “TSSB,” not “State of Texas.”
- Mailing to the wrong address. P.O. Box for USPS, street address for overnight carriers; mixing them adds 3–5 days.
Do’s and Don’ts
- Do download a fresh copy of the form each time, because the revision date changes silently.
- Do type the form whenever possible to avoid OCR misreads.
- Do keep a complete copy of the signed packet, the check, and the tracking number.
- Do call the Registration Division at (512) 305-8300 if you have not heard back in 15 business days.
- Do disclose every reportable event, even if it was expunged or sealed.
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Do file at least 30 days before any start date to allow for deficiency cure time.
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Don’t sign before the notary is ready; the notary must witness the signature.
- Don’t use a P.O. Box in Box 4 for residence — it is grounds for rejection.
- Don’t paperclip the check to the form; staple it to a cover letter to avoid loss.
- Don’t submit Form 133.7 by email or fax; it will not be accepted.
- Don’t rely on CRD alone; Texas requires the standalone Form 133.7 packet.
- Don’t start work before you receive the written effectiveness notice.
Pros and Cons of Filing on Your Own vs. With Help
| Filing Pro Se | Filing With a Compliance Professional |
|---|---|
| Pro: No third-party fee; only the $75 or $285 statutory fee. | Pro: Compliance staff catch CRD mismatches before the TSSB does. |
| Pro: You learn the form intimately, useful for future amendments. | Pro: Faster cure of deficiency letters because the firm has direct examiner contacts. |
| Pro: Direct control over disclosures, useful for sensitive matters. | Pro: Bulk filings can be coordinated for many agents at once. |
| Pro: No risk of a third party misstating your record. | Pro: Professionals know which exams qualify for waivers under 7 TAC §116.2(c). |
| Pro: You can file from anywhere with a notary. | Pro: Reduces liability if a disclosure is later challenged. |
| Con: Higher rejection rate for first-time filers. | Con: Compliance fees can exceed the statutory fee. |
| Con: No one to call when a deficiency letter arrives. | Con: Delays can occur if the firm’s compliance queue is long. |
| Con: Easy to miss subtle CRD mismatches. | Con: Less direct knowledge of your own record. |
| Con: You must track your own deadlines. | Con: Errors by compliance staff still fall on the registered person. |
| Con: Deficiency cures may take longer without examiner contacts. | Con: You may not see the final form before it is filed. |
FAQs
Is Form 133.7 the same as Form U4?
No. Form U4 is a FINRA/CRD form. Form 133.7 is a separate Texas State Securities Board cover application that the TSSB requires alongside the U4 record.
Can I file Form 133.7 electronically?
No. The TSSB requires a wet-ink signature, notarization, and paper filing by mail or in person; email and fax are not accepted.
Do I write my maiden name or married name in Box 1?
No maiden name in Box 1 — write the legal name on your Social Security card. List the maiden name in Box 2 as an “other name used.”
Is the Social Security number in Box 3 optional?
No. Texas Government Code §4004.052 makes the SSN mandatory for identity verification and child-support enforcement cross-checks.
Can I use a P.O. Box in Box 4 for my residence address?
No. The residence box requires a physical street address; a P.O. Box is allowed only in the mailing-address line.
Do I need to disclose an expunged misdemeanor in Box 9?
Yes. Expungement does not erase your disclosure duty under 7 TAC §115.6, and a missed disclosure can support license denial.
Is the filing fee refundable if my application is denied?
No. Under 7 TAC §133.6, the registration fee is non-refundable once the application is logged into the system.
Can my firm’s compliance officer sign Form 133.7 for me?
No. The agent or IAR must sign personally and have the signature notarized; firm signatures are not accepted.
Does passing the Series 7 alone qualify me as an Investment Adviser Representative in Texas?
No. Texas requires Series 65 or Series 66, or a recognized professional designation waiver under 7 TAC §116.2(c).
Will Texas accept the FINRA fingerprint submission instead of an FD-258 card?
Yes. The TSSB accepts FINRA’s electronic fingerprint submission as long as the prints are on file in CRD at the time of review.
How long does Form 133.7 approval take?
Yes, expect 10–15 business days from receipt for a clean filing; deficiency letters add 30 days or more depending on cure speed.
Can I work in Texas while my Form 133.7 is pending?
No. You must wait for the written effectiveness notice from the Securities Commissioner; acting earlier is unregistered activity and a third-degree felony under §4007.151.
Related reading
- How to Fill Out Texas Form 411 (w/Examples) + FAQs
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