Investment Adviser Registration
If you would like to register with the Commission as an investment adviser or if you have general questions regarding who is required to register, you should obtain the Commission's investment adviser registration package. The investment adviser registration package can be obtained by calling the Publications Unit at (202) 942-4046 or by writing to the Publications Unit, Securities and Exchange Commission, 450 5th Street, N. W., Washington, DC 20549, or by an electronic mail request to firstname.lastname@example.org.
Once you have reviewed the registration package, and determined that you are required to register with the Commission, you must submit your completed registration package to the Securities and Exchange Commission.
If, after reviewing the registration package, you need further information, please contact the Office of the Chief Counsel in the Division of Investment Management (IM) at (202) 942-0659. IM has also provided additional details on the registration process.
Please note that you should also contact your State Securities Office or Attorney General's Office for any applicable state registration requirements.