DOB: Investment Adviser Agent Information

Investment Adviser Agents


Instructions

How to Register

Fees

Fee Waiver for Military Duty Personnel

Multiple Registration (Joint and Several Liability Undertaking Waiver)

Investment Adviser Registration Depository Order (January 16, 2003)

Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)

Forms
 
(Forms are in PDF format unless indicated otherwise.  PDF handling help.)

Form U-4 (includes Instructions and Definition of Terms) (Uniform Application for Securities Industry Registration or Transfer)
  (57 pages; file size 484 KB)

Form U-5 (includes Instructions and Definition of Terms) (Uniform Termination Notice for Securities Industry Registration)
  (34 pages; file size 589 KB)

Form DBA-1  Trade or Assumed Name Notification 
(2 pages; file size 60 KB)


Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

Connecticut Testing Requirements for Securities Industry Personnel

FINRA Testing

FINRA Testing Center Locations

NASAA Series 65 and Series 66 Exam Study Guide

Third Party Study Vendors

Examination Waiver for Holders of Chartered Financial Consultant ("ChFC") 
or Chartered Life Underwriter ("CLU") Designations

Amended Order Concerning the Modified Series 65 and 66 Examinations (March 28, 2000)

Order Adopting the Modified Series 65 and 66 Examinations (December 2, 1999)

Investment Adviser Registration Depository (IARD)


Contact

For more information or assistance, contact us at:

Connecticut Department of Banking
Securities Division
260 Constitution Plaza
Hartford, CT 06103-1800

Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: dawn.mafera@ct.gov or kevin.maher@ct.gov  

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