Business Registration Division – Securities

How much is the registration/renewal fee?
The registration and renewal fees are $100 per year.  The fees are paid through the IARD system.

Where do I send required documents?
Documents may be submitted to our office via our general email mailbox at: [email protected], or mailed to:

State of Hawaii
Department of Commerce and Consumer Affairs
Securities Compliance Branch
335 Merchant Street, Room 205
Honolulu, HI 96813

How long does the registration process take?
The registration process typically takes several weeks but may run longer if there are any issues or omissions with the application submitted.

When are the annual financial statements due?
The financial statements are due within 90 calendar days following the end of the investment adviser’s fiscal year.

What are the continuing education requirements?
The adoption of Hawaiʻi Administrative Rules § 16-39-454.5 requires both state-registered and federal covered investment adviser representatives to complete annual continuing education courses in order to maintain their registration in Hawaiʻi. Click here for more information.