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Federally Registered Advisers


If an investment adviser firm becomes a federally registered investment adviser firm, a notice filing is required (see M.S. 80A.04).

Fees:

  • $100 annual fee, payable and sent to FINRA

Forms:

  • Forms are available through the FINRA Investment Adviser Registration Depository (IARD)

  • Form ADV; page 1 must be manually signed, dated and notarized.

  • Firms with fewer than six clients in Minnesota are not required to file.

License Renewal:

  • Annual renewals are due on December 31 through CRD. Renewal notification will be sent by the IARD/FINRA.