Industry Resources
Applications will not be deemed complete until the required fee and all required submissions have been received by the Division, including any information or documentation requested by the Division after an initial submission.
Failure to complete the application or renewal procedures as set forth in the links listed in this section may result in termination of an application or registration. Please note that fees will not be refunded or credited and new fees will be required upon re-filing.
Amended ADV Memo - PLEASE READ
IA Switch Letter - PLEASE READ
IA Switch Presentation - PLEASE READ