How-To Guide: Register as an Investment Adviser

Investment Adviser

An investment adviser is any person or firm that for compensation engages in the business of advising others as to the value of securities or as to the advisability of investing in, purchasing, or selling securities or who issues or promulgates analyses or reports concerning securities for compensation.  See O.C.G.A. § 10-5-2(17).  Investment Advisers must register electronically through the Investment Adviser Registration Depository (IARD).

The Securities Division of Georgia currently only accepts investment adviser firm registration through the IARD system on the FINRA website.

After your firm pays the registration fee through FINRA, the Georgia Securities Division analyst assigned to the firm’s registration application will contact you.

How To Register

Requirements For Registering as an Investment Adviser Representative

Expiration and Renewal

Unless renewed, all investment advisers’ registrations (regardless of when permitted in the calendar year) expire on December 31st. The renewal fee is $105.00. Renewals should be submitted through IARD prior to expiration of registration.

FINRA publishes instructions on IARD renewal during the fall prior to the registration expiration date. If you do not receive instructions from FINRA regarding the renewal process during the fall you should contact the FINRA Gateway Call Center at (240) 386-4848 or the Georgia Securities Division at (404) 654-2817 and ask for Investment Adviser Registration information.

Please be advised: Failure to renew by December 31st will result in termination of your registration in Georgia. The Securities Division will NOT send out separate renewal notices to remind registrants and notice filers of the renewal process.

Additional Information

De minimus exemption: An investment adviser who, during the preceding 12 months, has had fewer than six clients in this state need not register with the Securities Division. This is the case whether or not the adviser has a place of business in Georgia. Please see O.C.G.A. §§ 10-5-32(b)(2), 10-5-32(b)(3), and Rule 590-4-4-.13(1)(b).

ADV Amendments: Name and address changes should be submitted immediately through IARD.

Contact

Address

2 MLK Jr Dr SE
Ste 317, West Tower
Atlanta, Georgia 30334

Contact the Securities Division

Address

2 MLK Jr Dr SE
Ste 317, West Tower
Atlanta, Georgia 30334