Investment Adviser Search
Investment Adviser Public Disclosure (IAPD) provides information about current and former Investment Adviser Representatives (IARs), Investment Adviser firms registered with the SEC and/or state securities regulators, and Exempt Reporting Advisers that file reports with the SEC and/or state securities regulators. IAPD Investment Adviser Search
Unless exempted from verification or pursuant to federal law, no state agency or political subdivision of the State of Nebraska shall provide public benefits to a person not lawfully present in the United States. Every agency or political subdivision of the State of Nebraska shall verify the lawful presence in the United States of any person who has applied for public benefits administered by an agency or a political subdivision of the State of Nebraska.
Regulation and Licensing
Summary of Nebraska Investment Adviser Registration Requirements
Investment Adviser Firm and Representative Registration Information
Investment Adviser Firm and Representative Renewal Information
2018 IA Renewal Notice
News & Press Releases
Use of Designations
The Nebraska Department of Banking and Finance, Bureau of Securities issues an interpretative opinion regarding the use of designations in advertising by investment adviser representatives and broker-dealer agents. The Department periodically reviews the list of designations.