Investment Advisers & Investment Adviser Representative Forms

United States Citizenship Attestation Form

Nebraska law requires state agencies to verify the lawful presence of individuals seeking professional licenses. All applicants seeking registrations as registered representatives and/or investment advisor representatives are required to verify and confirm their United States Citizenship or qualified legal alien status. Please complete the forms as appropriate and remit to the Department.

 403 Verification Notice
 Bureau of Securities citizenship form

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.