skip to content
photo of card catalog - no text

Find a license in the A-Z Index

1. Refine the topic list by letter

 

2. Select a topic to view their list of licenses

Title: Investment Advisers and Investment Adviser Representatives
Alternate Title:
Description: Persons who meet the statutory definition(s) of Investment Adviser and/or Investment Adviser Representative found in Minn. Stat. § 80A.41 (16) & (17) generally must register with the Minnesota Department of Commerce.
Subject: Financial Counselors/Planners
Financial Professionals
Investment Advisors
Creation Date: 9/11/2008 2:13:06 PM
Modification Date: 9/24/2019 11:08:38 AM
Agency Name: Commerce, Minnesota Department of
Agency URL: https://mn.gov/commerce/
Agency Description: The Minnesota Department of Commerce is the chief regulator for the banking, energy, insurance, real estate, securities, telecommunications industries and also operates Minnesota's Unclaimed Property.
Agency Phone: 651-539-1600
800-857-3602
Agency Fax: Agency URL: https://mn.gov/commerce/
Agency Address:
85 7th Place East, Suite 500

St. Paul
MN
55101
Division Name: Securities Unit
Division URL:
Division Description:
Division Phone: Division Fax: Division URL:
Audience: Application URL:
Renewal URL:
Versa URL:
Requirements:

Registration requirements, as well as exemptions from registration, are defined in Minn. Stat. § 80A.58Minn. Stat. § 80A.61 and applicable rules in Minn. Rules Chapter 2876

Review:

How to Register as an Investment Adviser

A person wishing to register an Investment Adviser in Minnesota must complete and file Form ADV Parts 1 and 2 on the Investment Adviser Registration Depository (IARD) electronic system. These forms should be completed according to the official Form ADV instructions, available at IARD

Cybersecurity Investment Adviser Registrant Alert

ADV Inconsistencies Sweep

    Forms & Fees

   Additional Information

   Net Worth

   Register

   Renewal

   Resources


How to Register as an Investment Adviser Representative


A person wishing to register as an Investment Adviser Representative in Minnesota must complete and file Form U4 - Uniform Application for Securities Industry Registration or Transfer.pdf on the Central Registration Depository (CRD) electronic system.  This form should be completed according to the official Form U4 instructions, available at CRD Filing Guidance and Policy

Rules: 2876

Statutes: 80A

Forms:

Form ADV Parts 1 and 2 on the Investment Adviser Registration Depository (IARD) electronic system. These forms should be completed according to the official Form ADV instructions, available at IARD

Form U4 - Uniform Application for Securities Industry Registration or Transfer.pdf

Form U4 Instructions.pdf


Fees:

Initial registration Investment Advisor - $65

Initial or renewal Investment Advisor Representative - $50


Period of Issuance:

Annual


Length of Determination:
Other Info:
Activity: Financial Counselors/Planners
License Detail URL:

Investment Advisers and their Representatives

License Lookup Directory
    Broker Check by FINRA 

    Investment Adviser Public Disclosure

Securities, Franchises & Subdivided Lands

Minnesota Department of Commerce


back to top