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Licensing – IAR Transition by Dually Licensing with Two Unaffiliated Firms


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Licensing - IAR Transition by Dually Licensing with Two Unaffiliated Firms

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This Licensing – IAR Transition by Dually Licensing with Two Unaffiliated Firms is a sample investment adviser form which is is a checklist of regulatory requirements and/or best compliance practices associated with an investment adviser representative (“IAR”) seeking to transition from an existing investment adviser firm to a new investment adviser firm by dually licensing as an investment adviser representative at these two unaffiliated firms for a temporary period. Included with Platinum and Titanium Packages. Available for a la carte purchase through our Online Store at

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.