Financial Certification Download Free Print-Only PDF OR Purchase Interactive PDF Version of this Form
Financial Certification Form. This is a Wisconsin form and can be use in Blue Sky Secretary Of State.
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Tags: Financial Certification, IAFC, Wisconsin Secretary Of State, Blue Sky
FINANCIAL CERTIFICATION Pursuant to s. DFI-Sec 5.02, Wis. Adm. Code, every investment adviser whose principal office is located in Wisconsin and that collects advisory fees of $1,200 or more, six months or more in advance shall maintain a positive net worth at all times. If the investment adviser will have custody of client funds or securities, a $35,000 net capital must be maintained. This shall be in the form of cash, securities or other liquid assets. If the investment adviser is an individual, the capital used to meet the net capital requirement must be segregated from the individual222s personal assets and used solely for the business for which the adviser is licensed. FIRM222S NAME: FIRM222S ADDRESS: FIRM222S IARD NUMBER: I, the undersigned, do hereby certify that the above mentioned firm has and will continue to maintain at all times, the net capital sufficient to meet the requirement in s. DFI-Sec 5.02, Wis. Adm. Code. I further certify that the accompanying financial statements are true to the best of my belief and knowledge. Typed Name and Title of an Officer of the Company Signature Date This document can be made available in alternate formats upon request to qualifying individuals with disabilities. American LegalNet, Inc. www.FormsWorkFlow.com