Securities Commission

West Virginia Investment Adviser Registration

To file in the State of West Virginia, the following information is required:

  • Executed copy of Form ADV, (If not filed with IARD)
  • Registration Fee of $200, (If not filed with IARD)
  • Consent to service of process, Form U-2
  • $10,000 surety bond- if net capital is under $25,000
  • A copy of an Unaudited Financial Statement prepared within 45 days of filing
Additional documents requested, but not required, are a copy of the Articles of Incorporation, the company By-Laws, and most recent audited annual statement. All registrations expire on December 31st.

Branch Offices:

  • Listing of all branch offices in West Virginia
  • $50.00 fee per branch, renewable every December 31st, checks made payable to the West Virginia State Auditor


  • Form U-4 for each West Virginia Representative
  • Initial registration fee of $100 (a sole proprietor does not pay a representative fee, "even if he/she files a Form U-4 with the IARD")
  • Renewal registration fee of $85, (all registrations expire December 31st)
  • Proof of Exams: Series 65; or Series 66 and Series 7
(REV. 6/23/03)


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1900 Kanawha Boulevard East, Building 1, Room W-100, Charleston, WV 25305
Toll Free 877.982.9148   Phone 304.558.2261   Fax 304.558.5200

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