Licencia: Investment Adviser Licensing and Notice Filing

Corporation Commission sitio externo

State Licensure: Form ADV Parts 1 and 2 submitted through FINRA IARD [A.R.S. § 44-3153(B)]. Affidavit of Adviser Activity in Arizona [A.R.S. § 44-3153(C)(4)]. $250 fee submitted through FINRA IARD [A.R.S. §§ 44-3153(D), 44-3181(A)]. Audited Balance sheet (if required) [A.R.S. §§ 44-3153(C)(3), 44-3159, A.A.C. R14-6-206]. Confirmation of written advisory agreement [A.R.S. §§ 44-3154, 44-3201(A(14), A.A.C. R14-6-203]. Additonal requirements for sole proprietors: Fingerprint card and $22.00 processing fee filed with the Securities Division, if fingerprints are not on file with the Division, CRD, or IARD. A fingerprint packet can be obtained from the Division [A.R.S. §§ 44-3153(C)(6), 44-3181(F)]. ---> Fingerprint Instructions <--- Satisfaction of written examination requirement [A.R.S. § 44-3153(C)(2), A.A.C. R14-6-204)]. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [ A.R.S. § 41-1080 ]. SEC Registered - Notice Filer: Form ADV Part 1 submitted through FINRA IARD [A.R.S. § 44-3153(E)]. $250 fee submitted through FINRA IARD [A.R.S. §§ 44-3153(F)(3), 44-3181(A)]. Arizona Exempt Reporting Adviser (ERA) Filing: Please Review A.R.S. § 44-3152(B) . Form ADV Part 1 submitted through FINRA IARD [ A.R.S. § 44-3152(B)(1)(b) ]. $125 annual fee [ A.R.S. § 44-3152(B)(1)(c) ]. For assistance in filing though FINRA IARD, please contact the FINRA IARD Call Center at (240) 386-4848 or at iard@finra.org .