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Investment Adviser & Investment Adviser Representative Registration Informationunderline
The following information is provided to assist in preparing an application for investment adviser registration in Nebraska.

Investment Adviser Application Filings Through Web IARD (Investment Adviser Registration Depository)
Applications, form filings, and fee payments for Investment Adviser firms and representatives should be made directly through the Web IARD.
  • A $200 Investment Adviser application fee;
  • Form ADV Part I & Schedules A-E;
  • A $40 representative application fee; and
  • A complete and current Form U4.
More information and links to the Web IARD are available from our Investment Adviser Forms page.

Investment Adviser applicants must submit the following to the State of Nebraska Dept. of Banking & Finance Securities Bureau:
  • A complete and current Form ADV (Part II and Schedules F-H);
  • An executed "Affidavit of Investment Adviser Activity in Nebraska";
  • A current Audited Financial Statement or Certified Balance Sheet no more than 90 days old;
  • A copy of the Articles of Incorporation, Articles of Partnership or LLC Membership Agreement that shows the current legal name of the applicant;
  • A Corporate Resolution (only for those entities organized as a corporation);
  • A Surety Bond in the amount of $25,000 or applicant must maintain a net capital over $25,000;
  • A complete Form IAR;
  • Specimen Contracts and/or Agreements;
  • Promotional and/or Disclosure Literature; and
  • Web site address (if applicable).
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