Investment Adviser

Mallon P.C. provides extensive registration services to both firms and individuals interested in Investment Adviser registration at the state and SEC level. FINRA requires that any person associated with a member firm who is engaged in the securities business of the firm must register with FINRA. In order to register as an investment adviser, the interested party needs to register through FINRA’s IARD online system. We assist clients with this registration process, including all submission of legal forms and all exam registrations. Each state has different requirements and regulations when registering, and Mallon P.C. will be able to specialize our services around the client’s specific Investment Adviser registration needs.

Mallon P.C.’s legal services include but are not limited to:

· Prepare Entitlement Forms to gain access to the IARD system

· Set up account funding

· Prepare and submit Form ADV, Form ADV Part II, and Schedule F

· Prepare and submit Form U-4 for individual representatives

· Prepare and submit Form U-10 for all examination requests if needed

· Complete and submit Form ADV-Withdrawal if needed

· Order fingerprint cards

· Write and submit detailed responses to state comment letters regarding Investment Adviser applications

Mallon P.C. takes clients through the step-by-step registration process and provides answers to questions regarding FINRA’s registration requirements. After the initial registration process is complete, we create in-depth response letters to the state where the individual or firm is registered in order to update any and all application changes and address all specific state requirements.