Annual Renewals Sales Agents and Investment Advisers

Renewal Instructions

Tax Certification Form

1. Broker-dealer sales agents and investment adviser representatives that have a place of business in VT, or have a resident address in VT, are required to complete the Tax Certification Form ("the Form") in order to renew their registration in Vermont for 2013.  We are asking the firms to identify their registrants who meet the above criteria.     
2. The document is form-fillable and we encourage completing the Form online as incomplete forms will not be accepted.
3. The Form below is strictly for the annual renewal process.  Only this version of the Form will be accepted in order to renew. Please note, the individual is required to sign the form once completed. 
4. If the individual is a broker-dealer sales agent and investment adviser representative in the state of Vermont, only ONE tax certification needs to be completed.
5. If you choose to email the tax certification you do NOT need to follow up with the original.

The Form must be received at the Division by close of business December 1, 2012. The Form can be mailed or emailed. 

Our mailing address is:

Department of Financial Regulation
Attention: Securities Division
89 Main Street
Montpelier, VT 05620

If you have any questions regarding the renewal process please contact Amanda Smith at 802-828-3423 or via email dfr.annualrenewals2013@state.vt.us. 
 

Investment Adviser Branch Office Form VT-1

1. The investment adviser branch form VT-1 ("VT-1") is ONLY required to be completed for investment adviser representatives that have a place of business in the state of Vermont. 
2. The VT-1 is form fillable and we encourage completing the form online as incomplete forms will not be accepted.  Please note the VT-1 does require signature of an officer, partner or sole proprietor of applicant firm. The VT-1 below is specifically for the annual renewal process. Only the VT-1 below will be accepted to renew a branch.
3. The VT-1 must be received at the Division by close of business December 1, 2012.  Please remember to include the IA renewal invoice you received in the mail along with the appropriate fee when mailing the VT-1.

Our mailing address is:

Department of Financial Regulation
Attention: Securities Division
89 Main Street
Montpelier, VT 05620

If you have any questions regarding the renewal process please contact:  Amanda Smith at 802-828-3423 or via email dfr.annualrenewals2013@state.vt.us.