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Home | Thompson Hine LLP

Atlanta

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Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?

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Yes. GA. CODE ANN § 10-5-34(a), (b) and (c) (2017)

A. An office at which the broker-dealer, investment adviser, or federal covered investment adviser regularly provides brokerage or investment advice or solicits, meets with, or otherwise communicates with customers or clients; or

B. Any other location that is held out to the general public as a location at which the broker-dealer, investment adviser, or federal covered investment adviser provides brokerage or investment advice or solicits, meets with, or otherwise communicates with customers or clients.

What is the maximum number of clients adviser can have in the state without triggering a notice filing?

What sorts of clients are not counted for purposes of determining whether to notice file?

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GA. CODE ANN § 10-5-34(b)(1)(A)-(D)(2017) GA. CODE ANN § 10-5-2(13) 2017)

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Viewing of these pages does not establish an attorney-client relationship. The information above is informational purposes only and should not be construed as legal advice. A lawyer should be consulted to confirm both applicability and any other issues that might affect or apply to your situation.

Georgia