Investment Adviser Application Checklist
The following is provided as a checklist for you to use when filing your application for an investment adviser certificate. Documents are filed with the Investment Adviser Registration Depository (“IARD”), the Central Registration Depository (“CRD”) or the Commissioner of the Department of Financial Protection and Innovation (“Commissioner”). Please make sure that the following documents are filed as directed. If you have any questions concerning an item, check out our “Application for an Investment Adviser Certificate – Did You Know” page. You will help us to efficiently process your application if your application includes the proper documentation and information.