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NC SOS

Investment Adviser Registration Requirements

Investment advisers subject to NC registration (domiciled in NC)

Investment advisers subject to NC registration must file electronically through the IARD system operated by FINRA. For questions relating to FINRA or the Web CRD/IARD systems, please call the Gateway Call Center at (240)386-4848. The relevant statutes are: N.C.G.S. §78C-16 and N.C.G.S. §78C-17.

Initial Registration:
  • File Form ADV (Parts 1&2) electronically through the IARD system.
  • Ensure that at least one member of Schedule A complies with 18 NCAC 06A.1709.
  • Pay filing fee of $300.00. Fees are paid through IARD system.
  • Submit any financial reporting required by 18 NCAC 06A.1704.
  • If using a bond, submit the original bond to the Securities Division as required by 18 NCAC 06A.1705. The Securities Division provides a surety bond form here: NC Investment Adviser Bond
  • Submit any other information requested by the Securities Division in a timely manner.

Investment advisers subject to NC registration (not domiciled in NC)

Investment advisers not domiciled in NC and subject to North Carolina registration must file appropriate forms on the IARD with fee and ensure that at least one member of Schedule A complies with 18 NCAC 06A.1709. For questions relating to FINRA or the Web CRD/IARD systems, please call the Gateway Call Center at (240) 386-4848. The relevant statutes are: N.C.G.S. §78C-16 and N.C.G.S. §78C-17.

Initial Registration:
  • File Form ADV (Parts 1&2) electronically through the IARD system.
  • Ensure that at least one member of Schedule A complies with 18 NCAC 06A.1709.
  • Pay filing fee of $300.00. Fees are paid through IARD system.
  • Submit any other information requested by the Securities Division in a timely manner.

Notice filing for SEC registered investment advisers

SEC registered investment advisers subject to notice filing in NC must file electronically through the IARD system operated by FINRA. For questions relating to FINRA or the Web CRD/IARD systems, please call the Gateway Call Center at (240) 386-4848. The relevant statutes are: N.C.G.S. §78C-16 and N.C.G.S. §78C-17.

Notice filing:

  • File Form Form ADV (Parts 1&2) electronically through the IARD system.
  • Pay filing fee of $300.00. Fees are paid through IARD system.

Annual Renewals

An investment adviser registration expires December 31 of each year unless renewed. FINRA publishes annual renewal instructions on its website. If you have questions regarding the renewal process you should contact the FINRA Gateway Call Center at (240) 386-4848.

Please note: The Securities Division will NOT send out separate reminders about the renewal process.

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