| Updated: |
9/28/2007 |
| Description: |
Investment Adviser firms, acting through licensed representatives, provide advice about the value of or advisability of purchasing or selling securities, manage accounts of others, or issue analyses or reports concerning securities.
Similar Keywords: advisers, advisors, financial, stocks, bonds, mutual funds, investments |
| Statutes, Rules, Ordinances: |
ORS 059
OAR 441-175
|
| Duration: |
One year |
| Fees - application, exam, etc.: |
Original application: $200
Renewal application: $200 |
| Responsible Agency: |
Finance & Corporate Securities Div DFCS - Licenses |
| Fee Exemptions: |
Firms with no place of business in Oregon AND having five or fewer Oregon clients. |
| Examination Information: |
None for firm; see Investment Adviser Representative for exam information for individuals |
| Bonding Requirements: |
$10,000 for Oregon-based firms (not regulated by the SEC); out-of-state firms must comply with home state requirements |
| Insurance Requirements: |
None |
| Prerequisites: |
Oregon-based firms:- Financial Statements prepared by independent accountant (with original and any renewal applications)
- Copy of proposed client contract(s)
- License application for at least one investment adviser representative
|
| Application Form: |
Form ADV |
| Service Links: |
 Investment Adviser Main Search Page
 Application
Agency Contact Information
|
| Additional Information: |
Overnight mail address: 350 Winter St NE, Room 410
Salem, OR 97301-3881 |
|
| |
Agency Information
|
|
Please refer to the Agency Website for further details and additional information.
|
| Agency Name: |
Finance & Corporate Securities Div DFCS - Licenses |
| E-mail Address: |
dcbs.dfcsmail@state.or.us
|
| Phone: |
503-378-4140
|
| Mail Address: |
Division of Finance & Corporate Securities
PO Box 14480
Salem, OR 97309
- 0405
|
| Website Information: |
http://dfcs.oregon.gov/ |
