Initial and Renewal Registration for State Registered Investment Adviser
Applications for initial registration or renewal registration by an investment adviser will not be deemed complete until the required fee and all required submissions have been filed with the Vermont Securities Division, (the "Division") and the Investment Adviser Registration Depository (the "IARD"), including any documentation requested by the Division after an initial submission. Failure to complete the application or renewal procedures as set forth below may result in termination of an application or registration. Fees will not be refunded or credited and new fees will be required upon refiling.
All applications must include:
* Vermont's balance sheet, net worth and bonding requirements are not applicable to an investment adviser registered or licensed in a state where it maintains its principal place of business AND is in compliance with such state's requirements.
All Non-CRD filings may be mailed or delivered to:Vermont Department of Financial Regulation
Questions concerning a registration or the registration process may be directed to 802-828-3420