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How long does the registration process take?


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It usually takes three to four weeks to prepare the investment advisor application and the associated documents. Once you submit the investment advisor application, it will take approximately three to four weeks for the SEC or state to review your application. However, this can vary significantly due to the particular volume and staffing associated with each securities regulator. In the event that you or your firm has a disciplinary history with securities regulators or is currently subject to a regulatory inquiry or investigation, the investment advisor registration process will be considerably longer or delayed.

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