Utah Investor Certification Form
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How to fill out Investor Certification Form?
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FAQ
"Investment Adviser Representative," is defined in 61-1-13(1)(r)(i) of the Utah Uniform Securities Act ("Act"), as "any partner, officer, director of, or a person occupying a similar status or performing similar functions, or other individual, except clerical or ministerial personnel, who: (a)(i) is employed by or ...
Statement requirements for RIAs in Utah: To work as an investment advisor representative in Utah, you must have one of these licenses: Series 65, Series 66 and Series 7 combined, or CFP, CFA, CIC, ChFC, PFS. You'll also have to fill out a form called the U-4 and the ADV Part 2B.
To form an RIA, investment advisors must pass the Series 65 exam (or equivalent). RIAs must register with the SEC or state authorities, depending on the amount of money they manage. Applying to become an RIA includes filing a Form ADV, which includes a disclosure document that is also distributed to all clients.
Becoming a Financial Advisor in Utah Get Your Education. As an investment adviser, clients will look to you as an expert in the securities market. ... Step 2: Register Your IA Firm in Utah. (This step is required for a new IA firm. ... Step 3: Take the Required Exam(s) ... Step 4: Ongoing Renewal and Update Requirements in Utah.
Registered investment advisors (RIAs) are individual investment advisors or full firms registered either with the Securities and Exchange Commission (SEC) or a state's securities agency.
While it may only take a month or two to get a firm registered as an RIA, typically advisors take about six months to fully complete the transition. Depending on the complexity of your business model, however, this timetable can be expanded or compressed down to weeks or even days.