Form 440-2306 "Investment Adviser Renewal Application" - Oregon

What Is Form 440-2306?

This is a legal form that was released by the Oregon Department of Consumer and Business Services - a government authority operating within Oregon. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on March 1, 2004;
  • The latest edition provided by the Oregon Department of Consumer and Business Services;
  • Easy to use and ready to print;
  • Quick to customize;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a printable version of Form 440-2306 by clicking the link below or browse more documents and templates provided by the Oregon Department of Consumer and Business Services.

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Download Form 440-2306 "Investment Adviser Renewal Application" - Oregon

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Oregon Department of Consumer & Business Services
Division of Financial Regulation — Securities Section
350 Winter St. NE, Room 410, Salem, Oregon 97301-3881
Mailing address: P.O. Box 14480, Salem, OR 97309-0405
(503) 378-4140 • Fax: (503) 947-7862 • TTY: (503) 378-4100
www.oregondfcs.org
INVESTMENT ADVISER RENEWAL APPLICATION
IA –
Name of licensee: _______________________________________
License number: ________________
(
)
Contact person: _________________________________________
Phone: ________________________
Title of contact person: ___________________________________
Fax: __________________________
The investment adviser firm identified above hereby applies for renewal of its license in Oregon and submits this
application and a renewal fee of $200 to the Division of Financial Regulation.
All material changes for the past year, as defined in OAR 441-175-0105, have been filed with the Division of
Financial Regulation or are shown on the amended Form ADV filed with this renewal application.
Name of the firm’s supervisor of operations in Oregon: __________________________________________
VERIFICATION
I declare, under penalty of perjury, that I am ________________________ (Title or position) of the licensee
and I am fully authorized to file this renewal for and on behalf of the licensee. I have read and am familiar
with the information in this renewal and with all materials or documents accompanying it. To the best of my
knowledge and belief, the information contained in this renewal and the accompanying documents is true,
correct, and complete.
By (Type or print name): ______________________________________
Date: __________________
Signature: __________________________________________________
FISCAL USE ONLY: 62110/1001 $200.00
D
D
C
DEPARTMENT OF
CONSUMER
B
BUSINESS
S
SERVICES
440-2306 (3/04/COM)
Oregon Department of Consumer & Business Services
Division of Financial Regulation — Securities Section
350 Winter St. NE, Room 410, Salem, Oregon 97301-3881
Mailing address: P.O. Box 14480, Salem, OR 97309-0405
(503) 378-4140 • Fax: (503) 947-7862 • TTY: (503) 378-4100
www.oregondfcs.org
INVESTMENT ADVISER RENEWAL APPLICATION
IA –
Name of licensee: _______________________________________
License number: ________________
(
)
Contact person: _________________________________________
Phone: ________________________
Title of contact person: ___________________________________
Fax: __________________________
The investment adviser firm identified above hereby applies for renewal of its license in Oregon and submits this
application and a renewal fee of $200 to the Division of Financial Regulation.
All material changes for the past year, as defined in OAR 441-175-0105, have been filed with the Division of
Financial Regulation or are shown on the amended Form ADV filed with this renewal application.
Name of the firm’s supervisor of operations in Oregon: __________________________________________
VERIFICATION
I declare, under penalty of perjury, that I am ________________________ (Title or position) of the licensee
and I am fully authorized to file this renewal for and on behalf of the licensee. I have read and am familiar
with the information in this renewal and with all materials or documents accompanying it. To the best of my
knowledge and belief, the information contained in this renewal and the accompanying documents is true,
correct, and complete.
By (Type or print name): ______________________________________
Date: __________________
Signature: __________________________________________________
FISCAL USE ONLY: 62110/1001 $200.00
D
D
C
DEPARTMENT OF
CONSUMER
B
BUSINESS
S
SERVICES
440-2306 (3/04/COM)