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Connecticut Investment Adviser Agent Registration Instructions

State:
Connecticut
Control #:
CT-U4
Format:
PDF
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Description

Investment Adviser Agent Registration Instructions Connecticut Investment Adviser Agent Registration Instructions are the guidelines and instructions that must be followed by individuals or firms who wish to become registered as Investment Adviser Agents (also known as Investment Adviser Representatives) in the state of Connecticut. These instructions provide information on the registration process, including the requirements to become registered, the fees associated with registration, and the documents that must be submitted. There are two types of Connecticut Investment Adviser Agent Registration Instructions: the Initial Registration Instructions and the Renewal Registration Instructions. Initial Registration Instructions provide information on the requirements to become registered in the state of Connecticut, including the submission of a completed Form ADV Part 1A, the payment of the applicable registration fee, and the submission of a completed Form U4. The Initial Registration Instructions also require the submission of a signed Form U5, a copy of the agent's current resume, and a copy of the agent's valid photo identification. Renewal Registration Instructions provide instructions on how to renew an existing registration as an Investment Adviser Agent in the state of Connecticut. This includes the submission of a completed Form ADV Part 1A, the payment of the applicable renewal fee, and the submission of a completed Form U4. The Renewal Registration Instructions also require the submission of a signed Form U5, a copy of the agent's current resume, and a copy of the agent's valid photo identification.

Connecticut Investment Adviser Agent Registration Instructions are the guidelines and instructions that must be followed by individuals or firms who wish to become registered as Investment Adviser Agents (also known as Investment Adviser Representatives) in the state of Connecticut. These instructions provide information on the registration process, including the requirements to become registered, the fees associated with registration, and the documents that must be submitted. There are two types of Connecticut Investment Adviser Agent Registration Instructions: the Initial Registration Instructions and the Renewal Registration Instructions. Initial Registration Instructions provide information on the requirements to become registered in the state of Connecticut, including the submission of a completed Form ADV Part 1A, the payment of the applicable registration fee, and the submission of a completed Form U4. The Initial Registration Instructions also require the submission of a signed Form U5, a copy of the agent's current resume, and a copy of the agent's valid photo identification. Renewal Registration Instructions provide instructions on how to renew an existing registration as an Investment Adviser Agent in the state of Connecticut. This includes the submission of a completed Form ADV Part 1A, the payment of the applicable renewal fee, and the submission of a completed Form U4. The Renewal Registration Instructions also require the submission of a signed Form U5, a copy of the agent's current resume, and a copy of the agent's valid photo identification.

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Connecticut Investment Adviser Agent Registration Instructions