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Use the forms below to register as an
investment adviser or investment adviser representative with the State of
Vermont. This site allows you to print out the forms (they are not
interactive). Please be sure to carefully read the
Application Instructions
before submitting your application. (The instructions will indicate which
forms are to be submitted electronically and which must be submitted in
hard copy.) If you have any questions, you are welcome to call the
Securities Division for assistance at 802-828-3420.
You have two choices:
1. See
Application Instructions (Same
link as in introduction above) to get instructions about forms and filing together in one place, with links to each of the necessary forms.
2. Or, get
individual forms from the list below:
 Affidavit of Investment Advisory Activity Form
Branch Office Form
Vermont
IA Tax Certification Form (Firm)
Vermont IAR Tax
Certification Form (Individual)
Vermont
Surety Bond Form
(Use this form only is you have discretion over, or custody of,
client funds and do not meet the net worth requirements of
Exhibit 6.5 of Order No. 06-43-S.)
SEC Link: ADV
Forms, FAQ's and Instructions
(Site contains forms ADV, ADV-W)
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