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        1300 W. Washington Street

        Phoenix, AZ 85007-2996

         

         

        Main: (602) 542-4242

        Email: SecuritiesDiv@azcc.gov

        Arizona Investment Adviser
        and Investment Adviser Representative
        Licensing and Notice Filing Requirements

        Applications for licensure will be processed in accordance with A.A.C. R14-6-105

        Investment Adviser Licensing and Notice Filing

        State Licensure:

        1. Form ADV Parts 1 and 2 submitted through FINRA IARD [A.R.S. § 44-3153(B)]. 
        2. Affidavit of Adviser Activity in Arizona [A.R.S. § 44-3153(C)(4)]. 
        3. $250 fee submitted through FINRA IARD [A.R.S. §§ 44-3153(D), 44-3181(A)]. 
        4. Audited Balance sheet (if required) [A.R.S. §§ 44-3153(C)(3), 44-3159, A.A.C. R14-6-206]. 
        5. Confirmation of written advisory agreement [A.R.S. §§ 44-3154, 44-3201(A(14), A.A.C. R14-6-203]. 
        6. Additonal requirements for sole proprietors:
        • Fingerprint card and $22.00 processing fee filed with the Securities Division, if fingerprints are not on file with the Division, CRD, or IARD.  A fingerprint packet can be obtained from the Division [A.R.S. §§ 44-3153(C)(6), 44-3181(F)].  ---> Fingerprint Instructions <---
        • Satisfaction of written examination requirement [A.R.S. § 44-3153(C)(2), A.A.C. R14-6-204)].
        • Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

        SEC Registered - Notice Filer:

        1. Form ADV Part 1 submitted through FINRA IARD [A.R.S. § 44-3153(E)]. 
        2. $250 fee submitted through FINRA IARD [A.R.S. §§ 44-3153(F)(3), 44-3181(A)]. 

        Arizona Exempt Reporting Adviser (ERA) Filing:

        1. Please Review A.R.S. § 44-3152(B).
        2. Form ADV Part 1 submitted through FINRA IARD [A.R.S. § 44-3152(B)(1)(b)].
        3. $125 annual fee [A.R.S. § 44-3152(B)(1)(c)].
        4. For assistance in filing though FINRA IARD, please contact the FINRA IARD Call Center at (240) 386-4848 or at iard@finra.org.

        Investment Adviser Representative Licensing

        1. Form U-4 submitted through FINRA IARD  [A.R.S. § 44-3156].
        2. $40 fee submitted through FINRA IARD [A.R.S. § 44-3181(A)]. 
        3. Fingerprint card and $22 processing fee filed with the Securities Division, if fingerprints are not on file with the Division, CRD, or IARD.  A fingerprint packet can be obtained from the Division [A.R.S. §§ 44-3156(C)(3), 44-3181(F)].  ---> Fingerprint Instructions <--- 
        4. Satisfaction of written examination requirement [A.R.S. § 44-3153(C)(2), A.A.C. R14-6-204)].
        5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

         

        Reporting Requirements 

        State Investment Adviser:

        1. Statement of material changes submitted through FINRA IARD [A.R.S. § 44-3159(A)]. 
        2. Audited Balance sheet (if required) [A.R.S. §§ 44-3153(C)(3), 44-3159, A.A.C. R14-6-206].

        Investment Adviser Representative:

        Statement of material changes submitted through FINRA IARD [A.R.S. § 44-3159(A)].

        Renewal

        State Investment Adviser and SEC Registered - Notice Filer:

        1. $250 annual fee on or before December 31 [A.R.S. § 44-3181(A)]. 
        2. Sole Proprietor Investment Advisers:  Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080].

        Investment Adviser Representative:

        1. $40 annual fee submitted on or before December 31 [A.R.S. § 44-3181(A)]. 
        2. Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080].

        Name Change/Reorganization/Mass Transfer

        In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.

        Stay Connected


        Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.

        Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances.Please call 602-542-3931 with any questions.

        Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.

        Arizona Corporation Commission

        1200 W. Washington Street

        Phoenix, AZ 85007

         

        Corporations Division

        1300 W. Washington Street

        Phoenix, AZ 85007

         

        Tucson Office (Walk-ins only)

        400 W. Congress Street

        Tucson, AZ 85701

         

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