INVESTMENT ADVISERS SUBJECT TO SEC
advisers qualified to register on the federal level with the SEC and doing advisory business in the state of
Alabama will be required to make a notification filing which will consist of
the following filed electronically through IARD System:
A complete Form
ADV (Including Schedule I).
Appropriate filing fees - $250 per investment adviser.
Representatives of federally registered
investment advisers with a place of business in Alabama are required to
register with the Commission. Applicants must submit the following electronically through Web CRD:
Current complete Form
U-4 | Instructions
Filing fees - $60 per representative.
Renewals: A federally registered investment adviser will be
required to renew its notification status and the registration of its investment adviser
representatives residing, or with a place of business in Alabama annually on or before December 31 of
each year. A notification renewal
filing will consist of the following filed electronically through IARD System:
ADV amendment reflecting all changes since last registration or renewal in Alabama. Changes should be marked and the amendment
should indicate “Notice Filing Only.”
(2) Appropriate filing fees: $250.00 per investment adviser.
$ 60.00 per
investment adviser representative.