Investment Adviser
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
<h3>Occupational Description</h3><br>An Investment Adviser is a firm which engages in financial management and planning for individuals or otherwise advises others on securities. An Investment Adviser may be represented by an Investment Adviser Representative. A representative must be employed/registered by an Investment Adviser to transact business in Nebraska, unless exempt from registration.<br><h3>Licensure Requirements</h3><br>Registration requirements may be obtained by contacting the Nebraska Department of Banking and Finance.<br><h3>Fees</h3><br>Investment Adviser License Fee- $200.00<br><h3>Renewal</h3><br>Renewal is required annually by December 31. The renewal fee is $200.00.
Requirements reported by the state
- Licence type
- Stand-alone license
- Military and veterans
- A temporary license available to military and spouses until formal license approval
Issuing body
- Department
- Nebraska Dept. of Banking & Finance
- Address
- 1526 K St, Ste 300 Lincoln, NE 68509
- Phone
- (402) 224-3445
- Agency website
- https://ndbf.nebraska.gov/
- Licence page
- ndbf.nebraska.gov
- Last updated
- September 6, 2024
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Nebraska's report to the Analyst Resource Center, published by CareerOneStop (October 2024 export). Everything shown comes only from that report.
Before you apply, confirm every detail with Nebraska Dept. of Banking & Finance — see the issuing body section above.
How we process this data. Not legal advice.