Broker-Dealer, Investment Adviser, and federally covered Investment Advisers must either register or notice file each branch office that the Broker-Dealer or Investment Adviser maintains in Vermont. Please see "What is a Branch Office" for information regarding the definition of a Vermont branch office.
*Branch offices that conduct both broker-dealer and investment adviser services require registration as a broker-dealer branch and registration or notice filing as an investment adviser branch.
All branch office registrations expire on December 31 and must be renewed annually. Investment Adviser branch offices are not filed, renewed or amended via the CRD. If you are renewing or amending an Investment Adviser branch office please submit the Investment Adviser branch office form and applicable fee directly to the Securities Divsion at the address listed below.
How to register or notice file:
A "branch office" is any office of a broker-dealer, investment adviser, or federal covered investment adviser, that qualifies as a "place of business" as defined in Section 5102(21) of the Vermont Uniform Securities Act. Specifically:
Questions concerning a registration or the registration process may be directed to 802-828-3420