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

Representatives:

  • 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)


Disclaimer

The West Virginia Securities Commission uses links to other Web sites for the convenience of the user. Whenever you click on links provided, you are leaving the West Virginia Securities Commission and entering an external site. The Security Commission cannot attest to the accuracy of the information provided by the external linked sites, nor does the Securities Commission endorse any products or information obtained from these external sites.

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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