Investment Adviser Licensing Procedure

Select the associated Link to access the subjects listed

• IARD INFORMATION (Investment Adviser Registration Depository)

• IA and IAR Renewal Procedure

• FIND an Investment Adviser

• Memo Regarding Privacy Notice Sent to Clients

• Investment Adviser Rules and Regulations - (Rule 51-4ia.pdf)

• Colorado Investment Adviser Law

• Frequently Asked Questions Regarding Licensing

• Colorado Filing Requirements For Investment Advisers and Representatives

• License package for new Colorado Investment Advisers

• Investment Adviser Coordinated Review Process
  

• Investment Adviser Interpretive Order - March 30, 2012
  

• Information covered in Securities Division ADV Part 2A-2B Seminars for those who were not able to attend

Please contact the Investment Adviser Regulation Section of the Colorado Division of Securities with questions at 303-894-2320.