State of Nebraska: Department of Banking and Finance

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Investment Adviser & Investment Adviser Representatives Regulation
The Bureau of Securities is responsible for regulating Investment Advisers and Investment Adviser Representatives in the State of Nebraska. We also investigate any complaints filed against an Investment Adviser involving a Nebraska resident. An Investment Adviser or Investment Adviser Representative is a firm or individual registered to give advice regarding individual securities. They usually operate on a fee basis for their services. All Investment Advisers and Investment Adviser representatives register with the states in which they provide advisory services. The IARD system will allow federal Investment Advisers to also register with individual states. The Bureau of Securities does not register qualified retirement programs.