Investment Adviser & Investment Adviser Representative Forms
The following forms are in pdf format. You must have Adobe Reader® to access these forms. It is recommended that you have the most recent version of Reader, which is available free from the Adobe website at: http://www.adobe.com/products/acrobat/readstep2.html
Investment Adviser firms must submit uniform filings using the Investment Adviser Registration Depository (IARD) - IARD Web Site
Additional forms necessary are listed below.
Form ADV Part II, Schedules F-H and State-IA Execution Page- pdf
Affidavit of Investment Adviser Activity in Nebraska - Editable pdf
Corporate Resolution - Editable pdf
Surety Bond - Editable pdf
Form IAR - Editable pdf
Investment Adviser Representatives
IA Representatives must submit uniform filings using the Investment Adviser Registration Depository (IARD) - IARD Web Site
For more information on Investment Adviser and Investment Adviser Representative registrations, please visit our Registration Information page.