How-To Guide: Register as an Investment Adviser Representative

Investment Adviser Representatives [O.C.G.A. § 10-5-33]

Investment Adviser Representatives are generally principals of or persons employed by investment advisers or federal covered investment advisers that advise others as to the value of securities or as to the advisability of investing in, purchasing, or selling securities or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. Registration exemptions apply, especially with respect to Investment Adviser Representatives of federal covered investment advisers. See section 10-5-2(19) of the Georgia Uniform Securities Act of 2008. If you have any questions as to whether you should register as an Investment Adviser Representative, you should consult legal counsel.

How To Register

Requirements For Registering as an Investment Adviser Representative

Please Note

Please note that any individual who has not been registered in any jurisdiction for a period of two (2) years may be required to comply with the examination requirements listed above. 

If assistance is needed for anything related to uploading forms to the IARD system, please call the FINRA Gateway Call Center at (301) 869-6699. This call center specializes in registration questions relating to the FINRA website.

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