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How is an IARD/Web CRD account established?

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In order for firms and individuals to register as investment advisors with the SEC and most states, an account with the Investment Adviser Registration Depository (“IARD”) and WebCRD must be established through the Entitlement Group of FINRA, the administrator of the IARD system on behalf of the SEC and states. Upon its approval, the FINRA Entitlement Group will provide your account identification information and CRD number. The IARD/WebCRD account allows your firm and you to file the Form ADV Part 1 and Form U4 to become an investment advisor and investment advisor representative and pay the registration fees charged by the appropriate securities regulators.

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