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Investment Advisers and Investment Adviser Representatives
License Description Persons who meet the statutory definition(s) of Investment Adviser and/or Investment Adviser Representative found in Minn. Stat. § 80A.41 (16) & (17) generally must register with the Minnesota Department of Commerce.

Registration requirements, as well as exemptions from registration, are defined in Minn. Stat. § 80A.58,  Minn. Stat. § 80A.61 and applicable rules in Minn. Rules Chapter 2876

Review:

Investment Advisers and their Representatives 

A person wishing to register an Investment Adviser in Minnesota must complete and file Form ADV Parts 1 and 2 on the Investment Adviser Registration Depository (IARD) electronic system. These forms should be completed according to the official Form ADV instructions, available at IARD

Order: Supervisory Experience-Investment Adviser (.pdf)

Memo to Investment Advisor Firms (.pdf)

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None
Licensing Agency
Minnesota Department of Commerce
Licensing Unit
85 7th Place East, Suite 600
St. Paul, MN 55101-3165
(651) 296 6319
licensing@state.mn.us
Active Status Active
Continuing Education No continuing education requirement to maintain license
Criminal Record No criminal record prohibitions
License Type Stand-alone license
License Updated 10/13/2021
Physical Requirements No physical requirements
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