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==Procedure==
'''Apply by Mail:'''
#To Apply for Investment Adviser License, the applicant has to approach the U.S. Securities and Exchange Commission [https://www.sec.gov/page/sec-regional-offices link]
#An application form will be provided to the applicant by the concerned officer. or it can be downloaded from the following [https://www.sec.gov/divisions/investment/iard/ia-forms.shtml link]
#The applicant has to fill in all the necessary details in the application form. (Incomplete applications are not accepted)
#Make sure that the applicant has attached all the necessary documents that are mentioned in the “Required Documents” section of this page.
#The applicant has to attach the photocopies of the required documents along with the application form while submitting.
#Submit all the documents with the completed form to the concerned office mailing address.
#The mailing address is mentioned in the “Office Locations & Contacts” section of this page.
#There is no fee for Investment Adviser License.
#After receiving the application, the concerned authority will check the submitted application and document set. If all are in place, the application will be accepted.
#Then the application will be processed further by the respective authority.
#For further process, the applicant has to follow the instruction given by the respective officer.
#Once your application is approved, the applicant will be registered as an investment adviser.
#This entire process can be completed within 45 days or as per the timeline advised by the respective department authority.
 
 
==Required Documents==
*Application form [https://www.sec.gov/divisions/investment/iard/ia-forms.shtml link]
*ID proof (Birth Certificate, national Identity card, etc)
*Address proof – (Driving license, passbook, utility bill, etc)
*Disclosure document
*Financial statements
*Business plan
*Compliance Manual
*Proof of insurance
*Any other documents (If required)
 
 
==Office Locations & Contacts==
'''U.S. Securities and Exchange Commission ''' 
100 F Street, NE 
Washington, DC 20549 
Contact - (202) 942-4046 
Contact [https://www.sec.gov/contact-information/sec-directory#hq link] 
Regional [https://www.sec.gov/page/sec-regional-offices link]
 
 
==Eligibility==
*Any individual who intends to Apply for Investment Adviser License is eligible to make this application.
 
 
==Fees==
*There is no fee for Investment Adviser License.
 
 
==Validity==
Explain the time until which the certificate/document is valid.
e.g. Birth Certificate Valid Forever
 
 
==Documents to Use==
*Application form [https://www.sec.gov/divisions/investment/iard/ia-forms.shtml link]
 
 
==Sample Documents==
Please attach sample completed documents that would help other people.
 
 
==Processing Time==
*This entire process can be completed within 45 days or as per the timeline advised by the respective department authority.
 
 
==Related Videos==
Videos explaining the procedure or to fill the applications.
Attach videos using the following tag <&video type='website'>video ID|width|height<&/video&> from external websites.
Please remove the '&' inside the tags during implementation.
Website = allocine, blip, dailymotion, facebook, gametrailers, googlevideo, html5, metacafe, myspace, revver,
sevenload, viddler, vimeo, youku, youtube
width = 560, height = 340, Video ID = Can be obtained from the URL of webpage where the video is displayed.
e.g In the following url 'http://www.youtube.com/watch?v=Y0US7oR_t3M' Video ID is 'Y0US7oR_t3M'.
 
 
==Instructions==
*Applicants must complete the application form before submitting it. Incomplete applications will not be accepted.
*Applicants must provide genuine information while applying for this procedure.
 
 
==Required Information==
*Name
*Address
*Contact details
*Mailing address
*Business details
*Income details
*ZIP code
*Qualification
*Email ID
*Fax
*Other details
*Declaration
*Signature
*Date
 
 
==Need for the Document==
*An Investment Adviser License in the United States is a registration that is required for individuals and firms that provide investment advice for compensation.
*The license is issued by the Securities and Exchange Commission (SEC) or state securities regulators, depending on the size of the adviser's assets under management (AUM).
 
 
==Information which might help==
*For more information [https://www.sec.gov/divisions/investment/iaregulation/regia.htm link]
 
 
==Other uses of the Document/Certificate==
Please explain what are other uses of obtaining this document/certificate.
e.g. Birth Certificate can be used as proof of identity.
 
 
==External Links==
[https://www.sec.gov/about/offices/oia/oia_investman/rplaze-042012.pdf Link]
 
 
==Others==
*Investment Adviser Licenses are important because they help ensure that individuals and firms who provide investment advice to the public are qualified and operate in a manner that is consistent with federal and state securities laws.
*By obtaining a license and complying with regulations, investment advisers can establish credibility with clients and demonstrate their commitment to ethical business practices.
 

[[Category:Vermont]]

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