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Wisconsin Investment Advisory Activity Of Applicant IAAA - Wisconsin
| Wisconsin Investment Advisory Activity Of Applicant Form. This is a Wisconsin form and can be used in Securities Blue Sky Secretary Of State . |
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§551.406(1)(b), Wis. Stats. and 5.01(2), Wis. Adm. Code STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS DIVISION OF SECURITIES 345 West Washington Ave., 4 Fl. PO Box 1768 Madison, WI 53701-1768 (608) 266-2139 TTY: (608) 266-8818 Internet: www.wdfi.org th WISCONSIN INVESTMENT ADVISORY ACTIVITY OF APPLICANT Pursuant to §551.403(1), Wis. Stats., it is unlawful for any person to transact business in Wisconsin as an investment adviser unless so licensed or licensed as a broker-dealer whose activities in Wisconsin include investment advisory services under §551, Wis. Stats., except that licensing is not required under any the following circumstances: 1. 2. 3. The person effects transactions or provides investment advice in this state exclusively for the account of persons specified in s. 551.403(2), Wis. Stats. or § DFI-Sec 5.13(1), Wis. Adm. Code. The person has no place of business in Wisconsin and in the last twelve months has had fewer than 6 clients in Wisconsin. The person is now, or was at the time of the transactions in question, a federal covered adviser and not subject to state registration requirements. The fact that a person may have transacted business as an investment adviser in Wisconsin in violation of §551.403(1), Wis. Stats., does not mean that a person's Wisconsin application for registration will automatically be denied. As part of the Wisconsin Investment Adviser Registration Application, the applicant must respond as to whether or not the applicant has engaged in investment advisory business in Wisconsin without being properly registered. To facilitate your response, please complete the questionnaire below and return the completed form to this Division. NO, this applicant is not now transacting and has never transacted investment advisory business in Wisconsin. YES, this applicant has transacted investment advisory business in Wisconsin prior to this application. (Do not include services performed during any period when the applicant was registered as a federal covered adviser and not subject to state regulation.) If yes, list all transactions effected in Wisconsin: Name & Address of Customer Date of Transaction Description of Transaction Date of Client Agreement Name of IA Rep Total Advisory Fees Charged ____________________________________________________________________________________________ ____________________________________________________________________________________________ ____________________________________________________________________________________________ (Attach additional pages if space provided is insufficient.) ____________________________________________________________________________________________ Name of Applicant _________________________________________________________ Firm's Authorized Signatory ______________________________ Date ___________________________________________________________ Firm IARD Number______________ Typed Name and Title of Signatory This document can be made available in alternate formats upon request to qualifying individuals with disabilities. American LegalNet, Inc. www.FormsWorkFlow.com DFI/DOS/IAAA(WI)(R01/12)
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