Nebraska Department of Banking and Finance

Investment Adviser & Investment Adviser Representatives Regulation

The Bureau of Securities is responsible for regulating Investment Advisers and Investment Adviser Representatives in the State of Nebraska. The Bureau of Securities also investigates any complaints filed against Investment Advisers and Investment Adviser Representatives involving Nebraska residents.

An Investment Adviser or Investment Adviser Representative is a firm or individual registered to give advice regarding individual securities. Investment Advisers and Investment Adviser Representatives usually operate on a fee basis for their services. All Investment Advisers and Investment Adviser representatives register with the states in which they provide advisory services.

SEC Registered Investment Advisers are required to Notice File in jurisdictions prior to conducting business. The Notice Filing is facilitated through the IARD system.  

The Bureau of Securities does not register qualified retirement programs.