Licensing & Notice Filing Requirements
Investment Adviser Licensing and Notice Filing
State Licensure:
SEC Registered - Notice Filer:
Arizona Exempt Reporting Adviser (ERA) Filing:
Representative Licensing
Reporting Requirements
State Investment Adviser:
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:
Investment Adviser Representative:
Name Changes/Reorganization/Mass Transfer
In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-1426 or SEC-AOD@azcc.gov.
Registration Quick Links
Registration of Securities
Registration Exemptions
Registration and Licensure Exemptions
Forms