- An updated Form
BD, including Schedules A-E via the WebCRD, if necessary.
- An invoice will be sent after the agents have been transferred
listing their names and requesting $10.00 per agent.
- Form ADV for the successor - No Fee Required.
Investment Adviser Representative:
- Page 1 of Form U-4
(Not required if the investment adviser representative maintains an up-to-date U-4 with the CRD);
- Investment Adviser Representative Applicant/Management Certification
- $50.00 for each Investment Adviser Representative