Washington - Apply for Investment Adviser License

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Procedure

Apply by Mail:

1. To Apply for Investment Adviser License, the applicant has to approach the U.S. Securities and Exchange Commission link
2. An application form will be provided to the applicant by the concerned officer. or it can be downloaded from the following link
3. The applicant has to fill in all the necessary details in the application form. (Incomplete applications are not accepted)
4. Make sure that the applicant has attached all the necessary documents that are mentioned in the “Required Documents” section of this page.
5. The applicant has to attach the photocopies of the required documents along with the application form while submitting.
6. Submit all the documents with the completed form to the concerned office mailing address.
7. The mailing address is mentioned in the “Office Locations & Contacts” section of this page.
8. There is no fee for Investment Adviser License.
9. After receiving the application, the concerned authority will check the submitted application and document set. If all are in place, the application will be accepted.
10. Then the application will be processed further by the respective authority.
11. For further process, the applicant has to follow the instruction given by the respective officer.
12. Once your application is approved, the applicant will be registered as an investment adviser.
13. This entire process can be completed within 45 days or as per the timeline advised by the respective department authority.

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Required Documents

• Application form link
• ID proof (Birth Certificate, national Identity card, etc)
• Address proof – (Driving license, passbook, utility bill, etc)
• Disclosure document
• Financial statements
• Business plan
• Compliance Manual
• Proof of insurance
• Any other documents (If required)

Office Locations & Contacts

U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Contact - (202) 942-4046
Contact link
Regional link

Eligibility

• Any individual who intends to Apply for Investment Adviser License is eligible to make this application.

Fees

• There is no fee for Investment Adviser License.

Validity

Explain the time until which the certificate/document is valid.
e.g. Birth Certificate Valid Forever

Documents to Use

• Application form link

Sample Documents

Please attach sample completed documents that would help other people.

Processing Time

• This entire process can be completed within 45 days or as per the timeline advised by the respective department authority.

Related Videos

Videos explaining the procedure or to fill the applications.
Attach videos using the following tag <&video type='website'>video ID|width|height<&/video&> from external websites.
Please remove the '&' inside the tags during implementation.
Website = allocine, blip, dailymotion, facebook, gametrailers, googlevideo, html5, metacafe, myspace, revver,
sevenload, viddler, vimeo, youku, youtube
width = 560, height = 340, Video ID = Can be obtained from the URL of webpage where the video is displayed.
e.g In the following url 'http://www.youtube.com/watch?v=Y0US7oR_t3M' Video ID is 'Y0US7oR_t3M'.

Instructions

• Applicants must complete the application form before submitting it. Incomplete applications will not be accepted.
• Applicants must provide genuine information while applying for this procedure.

Required Information

• Name
• Address
• Contact details
• Mailing address
• Business details
• Income details
• ZIP code
• Qualification
• Email ID
• Fax
• Other details
• Declaration
• Signature
• Date

Need for the Document

• An Investment Adviser License in the United States is a registration that is required for individuals and firms that provide investment advice for compensation.
• The license is issued by the Securities and Exchange Commission (SEC) or state securities regulators, depending on the size of the adviser's assets under management (AUM).

Information which might help

• For more information link

Other uses of the Document/Certificate

Please explain what are other uses of obtaining this document/certificate.
e.g. Birth Certificate can be used as proof of identity.

External Links

Link

Others

• Investment Adviser Licenses are important because they help ensure that individuals and firms who provide investment advice to the public are qualified and operate in a manner that is consistent with federal and state securities laws.
• By obtaining a license and complying with regulations, investment advisers can establish credibility with clients and demonstrate their commitment to ethical business practices.