Get Affidavit Of Investment Advisory Activity Form . - Vermont Department ... - Dfr Vermont

The Affidavit of Investment Advisory Activity Form is a crucial document for applicants engaged in investment advisory services in Vermont. This guide will provide clear, step-by-step instructions on how to complete the form accurately and efficiently.

Follow the steps to complete the form online.

1. Click ‘Get Form’ button to access the form and open it in your editing platform.
2. Begin by entering the name of the principal in the designated field. This is the individual authorized to represent the applicant.
3. Next, fill in the name of the applicant, which should reflect the organization or entity that is seeking to file the affidavit.
4. Indicate whether the applicant has performed investment advisory activities within or from Vermont without registration by checking the appropriate box. If applicable, also provide the number of clients serviced.
5. Attach a comprehensive list detailing all investment advisory activities conducted. This list should include the names and addresses of clients, advisory fees, services provided, and any relevant financial information regarding profits and losses.
6. If the applicant has relied on any exemption from registration, clearly identify the exemption or provide justification for not being subject to the registration requirements of the Vermont Securities Act.
7. The principal must then acknowledge the truthfulness of the information provided by signing and dating the form.
8. Lastly, submit the completed affidavit for notarization and include the notary's signature and seal, ensuring it adheres to the legal requirements.
9. After completing all sections, save the changes to the form, and choose to download, print, or share it as necessary.

Submit your Affidavit of Investment Advisory Activity Form online today to ensure compliance with Vermont regulations.