APPLICATION REQUIREMENTS TO CONDUCT BUSINESS IN FLORIDA
If you are a federal covered investment adviser, you are required to file notice in Florida in order to conduct investment adviser business in this State. [You are a federal covered investment adviser if you are registered with the SEC as an investment adviser, or if you are not registered with the SEC because you are excluded from the definition of investment adviser. If you need more information to make this determination, contact the SEC at the address provided below.]
Submit all forms to:
FINRA/IARD
Phone No. (240) 386-4848
Website: www.iard.com
Notice Filing Fee: $200 - Paid through
FINRA/IARD
Form: ADV, Uniform Application for Investment Adviser Registration
Associated Persons: Only agents with a "place of business" in Florida need to be registered with the
Office. To register these agents, refer to the "Associated Person of Investment Adviser Application Requirements" for more information.
Branch offices: Not required to register
Additional information as required: The
Office may request additional information during the application process.
Investment Adviser information can be obtained from the:
Securities and Exchange Commission (SEC)
Southeast Regional Office
1401 Brickell Avenue, Suite 200
Miami, FL 33131
(305) 536-4700
REQUIREMENTS FOR MAINTAINING COMPLIANCE AS A FEDERAL COVERED ADVISER
Amendments to Form ADV: All federal covered investment advisers shall submit changes to the Form ADV through IARD pursuant to Rule 69W-600, F.A.C.
Registration of Associated Persons: All persons defined as an associated person pursuant to Rule 69W-200.001, F.A.C. required to register in this state prior to such person(s) conducting business requiring registration with the Federal Covered Adviser in this state.
Renewal of Investment Adviser Firms: IARD shall collect renewal fees for all federal covered investment advisers filed in Florida. The renewal deadline for firms and agents is December 31 each year. (Ch. 517.12(11), F.S.)
Branch offices: Not required to register
NOTE: This information is not a comprehensive summary of the rules and regulations governing compliance with Florida law. It is merely a checklist to assist with filing requirements. Refer to Chapter 517, F.S., or contact the
Office, for more information.
Disclaimer: The information on this web site is provisional. For matters affecting legal rights, please refer to the printed version of the appropriate official publication.
