Nebraska Designation of Investment Adviser Representatives

• Category: Nebraska Secretary of State - Blue Sky - General
• State: Nebraska
• Control #: NE-SKU-0163
• Format: PDF

Description

Designation of Investment Adviser Representatives The Nebraska Designation of Investment Adviser Representative is a document that is required by the Nebraska Department of Banking and Finance for investment adviser representatives (CAR) to transact business in Nebraska. This document is issued to Cars who have met the qualifications and requirements of the Nebraska Department of Banking and Finance. The Nebraska Designation of Investment Adviser Representative is a mandatory document that must be completed and submitted in order to obtain a license to operate as an investment adviser representative in Nebraska. The Nebraska Designation of Investment Adviser Representative must be completed and submitted by the Investment Adviser Representative, the Investment Adviser firm, and the designated Nebraska Registered Investment Adviser. It is important to note that the CAR must have a valid securities registration and be registered with the Nebraska Department of Banking and Finance. The Nebraska Designation of Investment Adviser Representative includes: proof of Registration with the Nebraska Department of Banking and Finance completeded and signed Application for Designation of Investment Adviser Representative completeded and signed Investment Adviser Representative Acknowledgement and Agreement copy of Current Investment Adviser Registration Certificate copy of the Investment Adviser Representative’s Securities RegistratiocopyCopy of the Investment Adviser’s Form ADcopyCopy of the Investment Adviser’s Business Entity Disclosure StatemencopyCopy of the Investment Adviser Representative’s Professional LicensecopyCopy of the Investment Adviser Representative’s Surety Bonproofroof of Compliance with Nebraska Securities Laws Once the Nebraska Designation of Investment Adviser Representative is completed and submitted, the Nebraska Department of Banking and Finance will review and approve or deny the application. If approved, the CAR will receive a Nebraska Designation of Investment Adviser Representative. The different types of Nebraska Designation of Investment Adviser Representatives include: individual Investment Adviser Representative businesses Entity Investment Adviser Representative non-resident Investment Adviser Representative employees Investment Adviser Representative trusts Officer Investment Adviser Representative independent Contractor Investment Adviser Representative.

The Nebraska Designation of Investment Adviser Representative is a document that is required by the Nebraska Department of Banking and Finance for investment adviser representatives (CAR) to transact business in Nebraska. This document is issued to Cars who have met the qualifications and requirements of the Nebraska Department of Banking and Finance. The Nebraska Designation of Investment Adviser Representative is a mandatory document that must be completed and submitted in order to obtain a license to operate as an investment adviser representative in Nebraska. The Nebraska Designation of Investment Adviser Representative must be completed and submitted by the Investment Adviser Representative, the Investment Adviser firm, and the designated Nebraska Registered Investment Adviser. It is important to note that the CAR must have a valid securities registration and be registered with the Nebraska Department of Banking and Finance. The Nebraska Designation of Investment Adviser Representative includes: proof of Registration with the Nebraska Department of Banking and Finance completeded and signed Application for Designation of Investment Adviser Representative completeded and signed Investment Adviser Representative Acknowledgement and Agreement copy of Current Investment Adviser Registration Certificate copy of the Investment Adviser Representative’s Securities RegistratiocopyCopy of the Investment Adviser’s Form ADcopyCopy of the Investment Adviser’s Business Entity Disclosure StatemencopyCopy of the Investment Adviser Representative’s Professional LicensecopyCopy of the Investment Adviser Representative’s Surety Bonproofroof of Compliance with Nebraska Securities Laws Once the Nebraska Designation of Investment Adviser Representative is completed and submitted, the Nebraska Department of Banking and Finance will review and approve or deny the application. If approved, the CAR will receive a Nebraska Designation of Investment Adviser Representative. The different types of Nebraska Designation of Investment Adviser Representatives include: individual Investment Adviser Representative businesses Entity Investment Adviser Representative non-resident Investment Adviser Representative employees Investment Adviser Representative trusts Officer Investment Adviser Representative independent Contractor Investment Adviser Representative.