IA- Illinois Investment Adviser Designation of Principal Form

The IL Investment Adviser Designation of Principal Form is required pursuant to Illinois Securities Law Section 130.84.  Each investment adviser registered in the State of Illinois must identify at least one examination-qualified principal who is responsible for offering investment advice and for the supervision of each investment adviser representative servicing Illinois customer accounts.  Members also downloaded Illinois Investment Adviser and Investment Adviser Rep. Registration Requirements or Illinois Guide for Investment Advisers.

Version/Update: V.U/11/2015 

Total Page Count/Format: 1/.pdf

Source/Author(s): IL Office of the Secretary of State Securities Dept.