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Investment Adviser
License Description

Occupational Description


An Investment Adviser is a firm which engages in financial management and planning for individuals or otherwise advises others on securities. An Investment Adviser may be represented by an Investment Adviser Representative. A representative must be employed/registered by an Investment Adviser to transact business in Nebraska, unless exempt from registration.

Licensure Requirements


Registration requirements may be obtained by contacting the Nebraska Department of Banking and Finance.

Fees


Investment Adviser License Fee- $200.00

Renewal


Renewal is required annually by December 31. The renewal fee is $200.00.
Licensing Agency
Nebraska Dept. of Banking & Finance
1526 K St, Ste 300
Lincoln, NE 68509
(402) 224 3445
rodney.griess@nebraska.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
License Type Stand-alone license
License Updated 08/09/2023
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