IA- Wisconsin Investment Adviser Designation of Supervisor Form


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The WI Investment Adviser Designation of Supervisor Form should be completed and filed by an investment adviser identifying at least one individual that will act in a supervisory capacity pursuant to Wisconsin State Legislature, Department of Financial Institutions, Section 5.05(7).  The individual must be a registered investment adviser representative and has satisfied the examination requirements in the state of Wisconsin.

Version/Update: V.U/04/2018

Total Page Count/Format: 1/.pdf

Source/Author(s): Wisconsin Department of Financial Institutions