Investment Advisers

Investment Adviser Packet Investment Adviser Packet – Lists requirements to register 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



Form BF-2

Investment Adviser Name Change Fees-Requires an ADV amendment filing


Securities Licensee’s Blanket Bond





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

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