Knowledge Base

When can a mid-sized investment advisor start registering with state securities regulators?


Search Knowledge Base by Keyword

Created On
byRCC
< Back

A mid-sized investment advisor can start applying for registration with state securities regulators at this time, but the investment advisor should first check with each state securities regulator to make sure the state will not object to the investment advisor´s dual registration as an investment advisor with the state securities regulator and the SEC. Every state securities regulator has its own investment advisor registration requirements and additional documentation may be required to be submitted along with the investment advisor registration application.

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.