Investment Advisor

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Investment Advisor means any corporation, partnership, limited liability company or sole proprietor who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation, issues or promulgates analyses or reports concerning securities. Registration Requirements: 1) Must submit initial application for registration. 2) Must submit annual financial statement. 3) Must be registered in resident state. Must register all employees who give investment advice on behalf of the investment adviser. These individuals must pass the appropriate investment adviser representative exams. Initial registration fee: $300.00, Renewal registration fee: $300.00, Branch fee: $50.00