Investment Adviser/Investment Adviser Representative Licensing & Notice Filing

Arizona’s Investment Management Act makes it unlawful to transact business in Arizona as an investment adviser or investment adviser representative without being licensed or making a notice filing (for those investment advisers registered with the SEC), unless the investment adviser is exempt.  In addition, the Act also makes it unlawful to engage in fraudulent activities in connection with providing investment advisory services.  Violations of either provision may result in civil, criminal, or administrative liability and/or fines.

To check to see whether an investment adviser or investment adviser representative is licensed or notice filed in Arizona or has any disciplinary history, please contact the Investigator on Duty at (602) 542-0662.

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Information For Applicants

Licensing and Notice Filing Requirements
Includes licensing requirements for investment adviser license applicants, federal notice-filers, investment adviser representative applicants, and information regarding maintaining registration, renewal requirements, name changes, and reorganizations.

IARD Entitlement Instructions

Series 65/66 Information

Fingerprint Card Instructions

Forms

IA Brochure
Contains an overview of state licensing requirements, ongoing reporting requirements, books and records requirements, examination program, and select statutes and rules.