Investment Adviser & Investment Adviser Representative Forms
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The following forms are in pdf format. You must have Adobe Reader® to access these forms. It is recommended that you have the most recent version of Reader, which is available free from the Adobe website at: http://www.adobe.com/products/acrobat/readstep2.html
United States Citizenship Attestation Form Nebraska law requires state agencies to verify the lawful presence of individuals seeking professional licenses. All applicants seeking registrations as registered representatives and/or investment advisor representatives are required to verify and confirm their United States Citizenship or qualified legal alien status. Please complete and submit the form before to the Department United States Citizenship Attestation Form Investment AdvisersInvestment Adviser firms must submit uniform filings using the Investment Adviser Registration Depository (IARD) - IARD Web Site Additional forms necessary are listed below. Form ADV Part II, Schedules F-H and State-IA Execution Page- pdf Affidavit of Investment Adviser Activity in Nebraska - Editable pdf Corporate Resolution - Editable pdf Surety Bond - Editable pdf Form IAR - Editable pdf Investment Adviser Representatives IA Representatives must submit uniform filings using the Investment Adviser Registration Depository (IARD) - IARD Web Site For more information on Investment Adviser and Investment Adviser Representative registrations, please visit our Registration Information page. |
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Nebraska Department of Banking and Finance © 2009
All Rights Reserved