Investment Advisers & Investment Adviser Representative Forms

Investment Advisers

Investment Adviser firms must submit uniform filings using the Investment Adviser Registration Depository (IARD) IARD Web Site

Additional forms necessary are listed below.
Form ADV
Affidavit of Investment Adviser Activity in Nebraska
Corporate Resolution
Surety Bond
Net Capital Computation

 

 

Investment Adviser Representatives

IA Representatives must submit uniform filings using the Investment Adviser Registration Depository (IARD) IARD Web Site

For more information on Investment Adviser and Investment Adviser Representative registrations, please visit our Registration Information page.