Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico

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COMMONWEALTH OF PUERTO RICO
COMMISSIONER OF FINANCIAL INSTITUTIONS
Centro Europa Building, Suite 600
1492 Ponce de León Ave.
San Juan, PR 00907-4127
Tel. (787) 723-8403 Fax: (787) 724-2604
INVESTMENT ADVISER REGISTRATION REQUIREMENTS
1.
Filing of application on Form R-3.
2.
Corporate Resolution on Form R-5, if applicable, or Written Consent of members for Limited
Liability Companies.
3.
Audited Financial Statements, which should include a Balance Sheet, Income Statement and Cash
Flow Statement.
If said financial statements are not within three (3) months of the date filed,
then you must also submit a balance sheet in compliance with said date.
4.
Filing of Form R-4 for officers and Form U-4 for Investment Adviser Representatives. Any
person within the Investment Adviser firm that is giving investment advice is required to be
registered as an investment adviser representative.
5.
Examination requirements for Officers and Investment Advisors Representatives
a) Series 65 or Series 66
6.
The initial and renewal fees
a) $500.00 for the Investment Adviser firm registration
b) $150.00 for the individual registration
7.
Certification of Incorporation, if applicable, or Certificate of Formation for Limited Liability
Companies.
8.
Certification stating that the applicant has not rendered investment advice to residents of Puerto
Rico. If any client has been solicited, please submit a list of the persons contacted and their
addresses.
9.
A surety Bond in the amount of $10,000.00 must be filed on Form R-7. If the capital or net worth
as determined under Article 18 of our Regulation No. 6078 is lesser than $25,000.00, the amount
of the surety bond is $25,000.00.
For more information you may contact Mariel Martínez at 723-3131 ext. 2309 or (787) 723-
8403.

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