Federal Investment Advisers and Agents

Submitted the following through Web IARD:

1. Complete Form ADV (Part I & II), Submit Part I through IARD.
2. Part II and/or Part 2 of Form ADV do not have to be filed but must be made available upon 5 days’ notice by the Bureau to the Investment Adviser.
3. $250 Notice Filing FEE for the Firm. Pay through IARD.
4. For any Investment Adviser Representatives who are working from a New Hampshire location:
   
   • Submit complete Form U-4, through the CRD system.
   • Pay $130 Registration fee through the CRD system.

There is no deminimus exemption for Federal Advisers from the notice filing requirements. Federal Advisers must file a notice in New Hampshire prior to conducting any investment adviser business in the state.

To renew, submit the $200 renewal fee for the ensuing year, on or before December 31st of each year, through the IARD system or to the Bureau. 

No fee is required.  Within 90 days from the federal covered investment adviser's fiscal year end, submit an audited balance sheet if required by Form ADV directly to the Bureau.  If a surprise examination of clients' funds and securities is required because the federal covered adviser has custody of client funds and/or securities, a copy of the report of examination must be promptly filed with the Bureau.

No fee is required. Submit a copy of Form ADV-W filed with the U.S Securities and Exchange Commission (SEC), within 10 days of its submission to the SEC, through Web IARD or to the Bureau. If a federal covered adviser is only withdrawing from the State of New Hampshire, they may file a Form ADV-W indicating that it is withdrawing from New Hampshire or may send a letter indicating that it is withdrawing from New Hampshire with the stated reasons.

Documents may be submitted through Web IARD where possible, but the fees must continue to be submitted directly to the Bureau. 

Submit, directly to the Bureau, a list of such investment adviser representatives and their social security numbers.

Upon receipt of the above, a confirmation of the notice filing amendment will be sent. 

No fee is required. Submit Form ADV Schedule C through Web IARD or file a copy with the SEC.

No fee is required. Submit copies of all documents submitted to the SEC, including annual amendments (whether filed directly with the SEC or through Web IARD) to the Bureau within 10 days of their submission to the SEC. Or submit them through the IARD system.

Submit a complete Form U-4 and a fee of $130 through the Web CRD system.

Submit amendments to Form U-4 through Web CRD, in accordance with the instructions on Form U-4. All material information on Form U-4 on file with the Bureau through Web CRD must be current.

On or before December 31st of each year, submit a renewal fee of $100 per agent to Web CRD for licensing in the ensuing year.

Submit Form U-5 for New Hampshire through Web CRD.

Each applicant for individual investment adviser licensure shall provide to the Secretary of State or through CRD, proof of obtaining a passing score(s) on one of the following examination requirements:

1. The Uniform Investment Adviser Law Examination (Series 65); or
2. The General Securities Representative Examination (Series 7) AND The Uniform Combined State Law Examination (Series 66)

1. Any individual who is registered or licensed as an investment adviser, investment adviser agent or investment adviser representative in any jurisdiction in the United States on January 1, 2000 shall not be required to satisfy the examination requirements for investment adviser licensure in this state, except that the Secretary of State may require additional examinations for any individual found to have violated any state or federal securities law.
2. Any individual who has not been registered or licensed in any jurisdiction for a period of two (2) years shall be required to comply with the examination requirements.

   WAIVERS - The examination requirement shall not apply to an individual who upon application holds one of the following professional designations:

3. Certified Financial Planner (CFP) awarded by the International Board of Standards and Practices for Certified Financial Planners, Inc.
4. Chartered Financial Consultant (ChFC) awarded by the American College, Bryn Mawr, Pennsylvania.
5. Personal Financial Specialist (PFS) awarded by the American Institute of Certified Public Accountants.
6. Chartered Financial Analyst (CFA) awarded by the Institute of Chartered Financial Analysts.
7. Chartered Investment Counselor (CIC) awarded by the Investment Counsel Association of America, Inc.
8. Such other designation as the Secretary of State may by rule or order recognize.