Having
trouble managing the myriad requirements of licensing firm entities or
individuals? Ann Buffie & Associates can help. We provide
start-to-finish assistance to get your firm up and running efficiently.
Our experienced staff provides the following:
State Investment Adviser Registration
Services – We draft or amend your ADV and assist you in meeting all
necessary filing requirements for a smooth registration process. We
also handle Investment Adviser Representative Registrations and
terminations.
SEC and State Adviser IARD
Registration Services – We
guide you through the account setup process, accurately input your data,
and follow through to ensure your registration is completed in a timely
manner. We also file your annual amendments.
Firm and Individual Registration and
Licensing Services for Insurance and Securities – Whether you need to set up an agency
or broker-dealer, or just need help getting individuals licensed or
registered, we can ease the burden.
