Advisor-Broker Relationship Registration

Cosgrove Law Group, LLC has experience with a whole host of investment adviser and broker state registration matters, including but not limited to:

  • Conversions from SEC registration to state registration
  • MC400 applications and hearings
  • Guidance to assist in the preparation for state audits
  • Annual and as-needed ADV updates and reviews
  • General state registration information requests
  • State registration inquiries for Investment Advisers and Investment Adviser Representatives

David B. Cosgrove and his Paralegal, Sheila Carroll, are former members of the North American Securities Administrators Association (NASAA) and current members of SIFMA, Compliance & Legal. With a background in state regulation and a continued presence in the compliance and regulatory community, Mr. Cosgrove and his partners and staff are able to provide a unique perspective when providing clients with registration guidance and advice.