Banner: License Finder

License Finder

License Finder

Investment Advisor
License Description 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
Licensing Agency
Arkansas Department of Commerce
1 Commerce Way, Suite 402
Little Rock, AR 72202-2086
(501) 324 9260
asdinfo@arkansas.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Exam State exam required
License Type Stand-alone license
License Updated 06/28/2022
Back to Results