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Investment Adviser Workshop

Investment Adviser Workshop. IA Regulation. Firm and Branch Registration Filing on IARD Screenshots of Relevant IARD/CRD Screens. Investment Adviser Workshop. IA Regulation The Switch Process. Filing for State Registration

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Investment Adviser Workshop

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  1. Investment Adviser Workshop IA Regulation Firm and Branch Registration Filing on IARD Screenshots of Relevant IARD/CRD Screens

  2. Investment Adviser Workshop IA Regulation The Switch Process Filing for State Registration • Switching to state registration is accomplished by making a “Create A New ADV Filing” and payment of the $200 registration fee thru IARD. • If you don’t remember how to access IARD, call the Gateway Call Center at 301-869-6699 • From the IARD Main Menu, select “Form ADV-New Filing”

  3. Select “Apply for Registrations..with..states”

  4. ABC ADVISORS LLC

  5. ABC ADVISORS LLC

  6. ABC ADVISORS LLC

  7. ABC ADVISORS LLC

  8. ABC ADVISORS LLC

  9. ABC ADVISORS LLC

  10. ABC ADVISORS LLC Clicking “Submit” enters your filing

  11. ABC ADVISORS LLC

  12. Investment Adviser Workshop IA Regulation Form BR Branch Office Filing • A branch office is an office other than your principal office that is held out to the public as a contact location for the adviser or where the adviser regularly • meets or communicates with clients; • solicits persons to become clients; or • provides investment advice. • Branch office openings, closings and amendments are created on CRD using Form BR and must be completed within 14 days of the events. • Branch office opening fees of $80 are deducted from your IARD Daily Account.

  13. ABC ADVISORS LLC

  14. ABC ADVISORS LLC * Type of Branch Office Select “Investment Adviser” as the type of branch office filing.

  15. ABC ADVISORS LLC

  16. * PERSON-IN-CHARGE – A natural person who is physically located at the branch office and who has been designated by the applicant to supervise the activities of the individuals working at the branch office. SUPERVISOR – A natural person who is not physically located at the branch office but has been designated by the applicant to supervise the activities of the individuals working at the branch office.

  17. ABC ADVISORS LLC This refers to your IA only; not activity of a BD List any DBAs used by the IA or its IARs Describe any BD activity here

  18. ABC ADVISORS LLC

  19. ABC ADVISORS LLC

  20. ABC ADVISORS LLC SECTION 7 – FOR BRANCH CLOSINGSDate operations ceased, or will cease, at the branch office Enter the month, day, and year the branch closed or intends to close – not the date you are submitting the filing.

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