License: Investment Advisor

The application for investment adviser registration is a two-part. It involves the electronic filing of Form ADV Part I, ADV Part 2, and other documents. The examination process varies depending on the complexity of the Applicant's business model. The fee for this application is $200.00.

  • Stand-alone license
  • State exam required
  • Experience required
  • No criminal record requirements
License information updated 02/25/2020