IA- Connecticut IA Securities Industry Trade or Assumed Name Notification Form DBA-1

The CT Investment Adviser Securities Industry Trade or Assumed Name Notification Form DBA-1 is required if an investment adviser or investment adviser representative uses a trade or assumed name pursuant to the Connecticut Uniform Securities Act.  Form DBA-1 should be filed prior to use of a trade or assumed name or to report any material changes to a previously submitted Form DBA-1.  Members also downloaded Connecticut Investment Adviser Agent Registration Requirements or Connecticut State Registered Investment Adviser Registration Requirements.

Version/Update: V.U/03/2020

Total Page Count/Format: 2/.pdf

Source/Author(s):  CT Department of Banking