Some specialty areas require licensing. For example, financial advisors who want to sell insurance must be licensed in their state as an accredited adviser in insurance. Advisors who focus on investments must register with their state or with the Securities and Exchange Commission (SEC) as a Registered Investment Advisor.
Become registered or licensed as a financial adviser as required in your state. State regulations vary, but all states regulate financial advisers who sell financial products and investment advisory firms to some extent. larger investment advisory firms are also required to register with the Securities & Exchange Commission.
The annual registration fee for an investment adviser firm is $100. The annual registration fee for each investment adviser representative is $60. For specific registration requirements of investment adviser firms please review the following regulations: K.A.R. 81-14-1 , K.A.R. 81-14-2 , and K.A.R. 81-14-9 .
nevada registered investment advisor llc requirements Beirne Wealth Consulting Services, LLC ("BWC") is an SEC registered investment adviser* located in Shelton, CT. BWC and its representatives are in compliance with the current registration and notice filing requirements imposed upon SEC registered investment advisers by those states in which BWC maintains clients.
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"XYZ Advisers is an investment adviser registered with the U.S. Securities and Exchange Commission." B. Respond fully to Item 19 (Requirements for State-Registered advisers): state registration fact sheet-alabama page 4 of 235
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