Registration and Licensing Services


Having trouble managing the myriad requirements of licensing firm entities or individuals?  Ann Buffie & Associates can help.  We provide start-to-finish assistance to get your firm up and running efficiently.  Our experienced staff provides the following: 
  • State Investment Adviser Registration Services We draft or amend your ADV and assist you in meeting all necessary filing requirements for a smooth registration process.  We also handle Investment Adviser Representative Registrations and terminations.

  • SEC and State Adviser IARD Registration Services We guide you through the account setup process, accurately input your data, and follow through to ensure your registration is completed in a timely manner. We also file your annual amendments.

  • Firm and Individual Registration and Licensing Services for Insurance and Securities Whether you need to set up an agency or broker-dealer, or just need help getting individuals licensed or registered, we can ease the burden.

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Ann Buffie And Associates
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