Source: https://www.azcc.gov/divisions/securities/licensing_and_registration/reg-ia.asp
Timestamp: 2019-04-22 23:58:53+00:00

Document:
1. Form ADV Parts 1 and 2 submitted through FINRA IARD [A.R.S. § 44-3153(B)].
2. Affidavit of Adviser Activity in Arizona [A.R.S. § 44-3153(C)(4)].
3. $250 fee submitted through FINRA IARD [A.R.S. §§ 44-3153(D), 44-3181(A)].
4. Audited Balance sheet (if required) [A.R.S. §§ 44-3153(C)(3), 44-3159, A.A.C. R14-6-206].
5. Confirmation of written advisory agreement [A.R.S. §§ 44-3154, 44-3201(A(14), A.A.C. R14-6-203].
Satisfaction of written examination requirement [A.R.S. § 44-3153(C)(2), A.A.C. R14-6-204)].
Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].
1. Form ADV Part 1 submitted through FINRA IARD [A.R.S. § 44-3153(E)].
2. $250 fee submitted through FINRA IARD [A.R.S. §§ 44-3153(F)(3), 44-3181(A)].
1. Please Review A.R.S. § 44-3152(B).
2. Form ADV Part 1 submitted through FINRA IARD [A.R.S. § 44-3152(B)(1)(b)].
3. $125 annual fee [A.R.S. § 44-3152(B)(1)(c)].
4. For assistance in filing though FINRA IARD, please contact the FINRA IARD Call Center at (240) 386-4848 or at iard@finra.org.
1. Form U-4 submitted through FINRA IARD [A.R.S. § 44-3156].
2. $40 fee submitted through FINRA IARD [A.R.S. § 44-3181(A)].
4. Satisfaction of written examination requirement [A.R.S. § 44-3153(C)(2), A.A.C. R14-6-204)].
1. Statement of material changes submitted through FINRA IARD [A.R.S. § 44-3159(A)].
2. Audited Balance sheet (if required) [A.R.S. §§ 44-3153(C)(3), 44-3159, A.A.C. R14-6-206].
Investment Adviser Representative: Statement of material changes submitted through FINRA IARD [A.R.S. § 44-3159(A)].
1. $250 annual fee on or before December 31 [A.R.S. § 44-3181(A)].
2. Sole Proprietor Investment Advisers: Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080].
1. $40 annual fee submitted on or before December 31 [A.R.S. § 44-3181(A)].

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