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Details

Detailed Information for : Investment Adviser (Firm) License
Description:
Provide advice or analysis concerning securities for a fee.  
License Type:
Original  
Duration:
The license of an investment adviser expires December 31 of each year.  
Fees:
Application filing-$200. Initial application examination $200. Supervisor or representative licensing fee $30.  
Prerequisites:
Unless waived, each applicant for an initial license as an investment adviser or as an investment adviser representative is required to provide the Division with proof that he or she has obtained a passing score on the examination: The Series 65 Uniform Investment Adviser Law Examination or The Series 7 General Securities Representative Examination as well as the Series 66 Uniform Combined State Law Examination.  
Application Form(s):
IA Packet (Forms IAAA, IADS, IAFC, and IAUSR)
Applications can be found at: Securities Licensing Forms  
Wisconsin Statutes:
Administrative Rules/Codes:
Contact Information
Contact:
Division of Securities
Home Page:
E-mail :
Hours of Operation:
7:45 a.m. - 4:30 p.m., Monday through Friday  
Phone:
(608)266-2139  
Fax:
(608)264-7979  
TTY/TDD:
 
Mail Address:
PO Box 1768, Madison, WI 53701-1768  
Street Address:
201 West Washington Avenue, Madison, WI 53703  
Agency Web Site:
 
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For additional assistance with business-related license, permit and registration information, visit the Wisconsin Small Business Development Center at http://www.wisconsinsbdc.org or phone them at 608-263-7680.


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