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What is the Investment Advisor Registration Depository (IARD)?

The IARD system is maintained by FINRA, and keeps track of all adviser registrations, which states they are licensed to work in, all licenses they hold, and any customer complaints.

It simplified the registration requirements of the Investment Advisers Act of 1940. The Investment Adviser Registration Depository (IARD) was established in 2001 to streamline the registration requirements of the Investment Advisors Act of 1940. The act required that all advisers register with the SEC and the states in which they practice.

The IARD system allows advisers to register for the Federal and state databases with one filing, and to pay state fees automatically online. The Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) and FINRA all have played a role in establishing and maintaining the database.

Registrations are publicly accessible, and consumers are encouraged to double check to make sure anyone soliciting securities from them is properly registered.

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Keywords: Securities and Exchange Commission (SEC), FINRA, NASAA, Investment Advisers Act of 1940, IARD,