Can I start the investment advisor registration process if my entity isn’t established yet?
Yes, you can start preparing your firm’s investment advisor application for registration without yet establishing the entity that will serve as the investment advisor; however, the entity will need to be established before the investment advisor application is filed. It’s recommended that you conduct a search of your state’s corporate name database to determine the availability of the intended name for your new entity. Once you identify an available name, an application can be submitted on your firm’s behalf to the Entitlement Group of the NASD for an IARD /WebCRD account. You will need to have established the entity with the state corporation office and obtain an employer identification number prior to filing your investment advisor registration application. Many states require a firm to include a copy of its article of incorporation or limited liability company membership agreement as part of its investment advisor application.
Yes, you can start preparing your firm’s investment advisor application for registration without yet establishing the entity that will serve as the investment advisor; however, the entity will need to be established before the investment advisor application is filed. It’s recommended that you conduct a search of your state’s corporate name database to determine the availability of the intended name for your new entity. Once you identify an available name, an application can be submitted on your firm’s behalf to the Entitlement Group of FINRA for an IARD /WebCRD account. You will need to have established the entity with the state corporation office and obtain an employer identification number prior to filing your investment advisor registration application. Many states require a firm to include a copy of its article of incorporation or limited liability company membership agreement as part of its investment advisor application.
