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.
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