Illinois. Securities Dept.
This is a list of all documents accepted for permanent retention in the depository, in order by issuing agency.
- Securities - Investment Advisors
Providing Investment Advice in Illinois. Under Illinois Law, any person or a firm (investment advisor or financial planner) offering investment advice to consumers in exchange for compensation (fee or commission)--and with more than 5 clients--must be registered as an investment advisor with the Securities Department.