The following information is provided to assist in preparing an application for investment adviser registration in Nebraska.
Investment Adviser Application Filings Through Web IARD (Investment Adviser Registration Depository)
Applications, form filings, and fee payments for Investment Adviser firms and representatives should be made directly through the Web IARD.
- Form ADV;
- A $200 Investment Adviser application fee;
- Form U4; and
- A $40 representative application fee
Investment Adviser applicants must submit the following supplements to the State of Nebraska Dept. of Banking & Finance Securities Bureau:
- An executed "Affidavit of Investment Adviser Activity in Nebraska";
- A current Audited Financial Statement or Certified Balance Sheet no more than 90 days old;
- A copy of the Articles of Incorporation, Articles of Partnership or LLC Membership Agreement that shows the current legal name of the applicant;
- A Corporate Resolution (only for those entities organized as a corporation);
- A Surety Bond in the amount of $25,000 or applicant must maintain a net capital over $25,000;
- Specimen Contracts and/or Agreements;
- Promotional and/or Disclosure Literature; and
- Web site address (if applicable).