The Florida Division of Securities participates in the Investment Adviser Registration Depository (IARD) system for the purpose of receiving notice filings for federal covered advisers. This online system enables federal covered advisers to notice file in all desired states via a single electronic form. All investment advisers shall file the documents and fees prescribed in Chapter 517.1201, F.S., and Rule 69W-600.0092, F.A.C., through the IARD.
To learn more information about obtaining entitlement to make filings through the IARD system, contact the Gateway Call Center at FINRA at (240) 386-4848 or visit their website http://www.iard.com.
Amendments and Maintaining Registration
Successor Registration Requirements
Current Uniform Registration Forms
Tel: (850) 410-9893
Fax: (850) 410-9748
850-Its-Your-Money (850-487-9687), Option 2
Division Key Personnel
Chapter 517: Securities and Investor Protection Act
Important Message: The link below does not represent the entire body of regulations governing compliance with Florida law; is it merely to assist applicants and registrants with filing requirements. Refer to Chapter 517, F.S., or contact the Office for more information.
69W-301.002, Processing of Applications
69W-600.0092, Investment Adviser Registration Depository for Federal Covered Advisers