Investment Adviser & Investment Adviser Representative Renewal Information

Investment Adviser and Investment Adviser Representative Registrations must be renewed annually by mid-December. The following information is provided to assist in renewing an investment adviser registration in Nebraska.

Renewal Fees

  • Investment Advisers - $200
  • Representatives - $40

 

Federal Investment Advisers and Representatives

Renewal fees and form filings should be submitted directly through the Web Investment Adviser Registration Depository (IARD). More information and links to the Web IARD are available from our Investment Adviser Forms page.

 

State Investment Advisers and Representatives

State investment advisers and representatives should submit the following through Web IARD. IARD Web Site

  • A $200 investment adviser registration fee;
  • Form ADV
  • Updated Form U4 with applicable amendments; and
  • A $40 representative registration fee.

The following should be submitted to the State of Nebraska Department of Banking & Finance Securities Bureau for registration renewal as an investment adviser:

  • A Current Audited Financial Statement or Certified Balance Sheet no more than 90 days old;
  • Net Capital Computation Form (NE domiciled firms only)
  • Surety Bond in the amount of $25,000 or IA must maintain a net capital over $25,000;
  • Specimen Contracts and/or Agreements; and
  • Promotional and/or Disclosure Literature.