Registration of an investment adviser in a State automatically registers any investment adviser representative that is a partner of the investment adviser.
State registration applications for a investment adviser must enclose:
•The applicant's form and location of the organization;
•The applicant's suggested method of interchange;
•The credentials and business record of the applicant and each of its partners;
Named in the registration information for an investment adviser are the members, officers, and directors to the adviser. These individuals do not have to make a different investment adviser agent filing in the State. However, any person who sells advisory services; or solicits the investment of an advisory business; must register as an IA rep. Clerical or ministerial workers do not have to be registered with the State.
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