Investment Advisers
Securities: Investment Advisers
Forms and Fees
| Investment Adviser Registration Packet | Investment Adviser Packet – Lists requirements to register | None |
| Balance Sheet | New Mexico Securities Division Balance Sheet | None |
| ADV Part 1 See IARD | Investment Adviser Licensing Application-State and Federal Covered (ADV, Part 1) | $300 |
| See IARD | Renewal Fee | $300 |
| ADV Part 2 See IARD | Firm Brochure (ADV, Part 2) & Instructions | None |
| Instructions for Part 2B See IARD | Brochure Supplement (ADV, Part 2B)-This should be maintained for individual representatives | None |
| ADV-W See IARD | Investment Adviser Withdrawal (ADV-W) | None |
| Form U4 See FINRA | Investment Adviser Representative Licensing (Form U4) | $50 |
| See IARD | Renewal Fee | $50 |
| Form U5 See FINRA | Investment Adviser Representative Termination (Form U5) | None |
|
ADV Part 1 See IARD
|
Investment Adviser Name Change Fees-Requires an ADV amendment filing
Securities Licensee’s Blanket Bond |
$50
None |
|
Note: All fees are processed through FINRA CRD-IARD System. Do not send payment to division. These fees do not include any fees charged by FINRA for maintenance of the CRD-IARD System. |
||
To contact FINRA/CRD
To contact FINRA/IARD
Forms and Fees
| Investment Adviser Registration Packet | Investment Adviser Packet – Lists requirements to register | None |
| Balance Sheet | New Mexico Securities Division Balance Sheet | None |
| ADV Part 1 See IARD | Investment Adviser Licensing Application-State and Federal Covered (ADV, Part 1) | $300 |
| See IARD | Renewal Fee | $300 |
| ADV Part 2 See IARD | Firm Brochure (ADV, Part 2) & Instructions | None |
| Instructions for Part 2B See IARD | Brochure Supplement (ADV, Part 2B)-This should be maintained for individual representatives | None |
| ADV-W See IARD | Investment Adviser Withdrawal (ADV-W) | None |
| Form U4 See FINRA | Investment Adviser Representative Licensing (Form U4) | $50 |
| See IARD | Renewal Fee | $50 |
| Form U5 See FINRA | Investment Adviser Representative Termination (Form U5) | None |
|
ADV Part 1 See IARD
|
Investment Adviser Name Change Fees-Requires an ADV amendment filing
Securities Licensee’s Blanket Bond |
$50
None |
|
Note: All fees are processed through FINRA CRD-IARD System. Do not send payment to division. These fees do not include any fees charged by FINRA for maintenance of the CRD-IARD System. |
||
To contact FINRA/CRD
To contact FINRA/IARD