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
The Nebraska Department of Banking and Finance is required to verify the immigration status of all individuals registering with the Department as agents and/or investment adviser representatives. The Securities Act of Nebraska and implementing rules require broker-dealers and investment advisers to verify citizenship and immigration status and maintain a copy of the completed United States Citizenship Attestation Form for each registered person.
Information about the citizenship verification process is available here.
Investment Adviser vs. Broker Dealers
Investment Adviser Regulation
Investment Adviser Public Disclosure
Regulation and Licensing
Summary of Nebraska Investment Adviser Registration Requirements
Investment Adviser Firm and Representative Registration Information
Investment Adviser Firm and Representative Renewal Information
2023 FINRA Annual Renewal Program Letter
2023 IA Renewal Notice and Checklist
Agency Administrative Rules & Policy Statements
Agency Actions/Administrative Orders
Investment Adviser Statutes
Unicameral State Statutes Search
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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.
Read Interpretative Opinion & Approved Designations