Additional information required 2026

1. Click ‘Get Form’ to open it in the editor.
2. Begin by entering the names and CRD numbers of the designated principals responsible for rendering investment advice in Illinois. Ensure that each principal has passed the necessary qualifying examinations.
3. In the affidavit section, select either option A or B to certify your prior investment adviser activities. If you choose B, attach all relevant information regarding past advice rendered.
4. Complete the investment adviser representations by confirming your compliance with compensation regulations and ensuring that all designated principals are registered as required.
5. Finally, provide your name, signature, title, and date at the bottom of the form to validate your application.

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