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Maine.gov> PFR Home > Securities Home Page > Fingerprinting Requirements for Investment Adviser Representatives

Fingerprinting Requirements for Investment Adviser Representatives

Chapter 515

Investment adviser representatives that are not also licensed as broker dealer agents must have a fingerprint card on file with the Office of Securities prior to licensing.

To request a fingerprint card, please use the following link:

Investment Adviser Representative Initial Applicants FP Cards Procedure (PDF)

 

 

 

 

 

 

 

 

Last Updated: January 23, 2014