The Florida Division of Securities participates in the Investment Adviser Registration Depository (IARD) system for the registration of investment advisers. This online system enables investment advisers to register in all desired states via a single electronic form. All investment advisers shall file the documents and fees prescribed in Chapter 517.12(10), F.S. and Rules 69W-600.001 and 69W-600.0093, F.A.C., through the IARD.
For more information about obtaining entitlement to 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 Florida 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
The links below do not represent the entire body of regulations governing compliance with Florida law; they are 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-600.001, Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser
69W-600.0011, Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser
69W-600.004, Registration of Issuer/Dealers, Principals and Branch Offices
69W-600.006, Fingerprint Requirements
69W-600.0093, Investment Adviser Registration Depository for Investment Advisers
69W-600.010, Notice of Civil Criminal or Administrative Action
69W-600.015, Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
69W-600.016, Net Capital Requirements for Dealers and Investment Advisers