Arizona Revised Statutes

Ariz. Rev. Stat. § 44-3153 (2026)

Application for licensure as investment adviser; notice filings by federal covered advisers

✓ current as of May 2026

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A. Any person may apply for licensure as an investment adviser. The applicant shall sign an application for licensure.

B. An application for licensure as an investment adviser shall be filed with the commission through the IARD. If the IARD does not provide for receipt of a filing, the filing may be made with the commission by mail or any other method that is reasonably acceptable to the commission.

C. An application for licensure shall contain the following, together with other information the commission prescribes:

1. A completed uniform application for investment adviser registration under the investment advisers act of 1940 together with other forms designated by the director.

2. Proof of compliance with written examination requirements.

3. Financial reports as required by the commission.

4. A notarized affidavit of any officer, director, partner, member, trustee or manager of the applicant that states:

(a) That a review of the records of the investment adviser has been conducted.

(b) Whether any investment adviser activity has been conducted with residents of this state before licensure as an investment adviser.

5. If the applicant intends to have a branch office in this state, the address and name of a contact individual at that branch office.

6. If the applicant is an individual and the applicant's fingerprints are not on file with the division, the CRD system or the IARD, a full set of fingerprints. The commission shall submit the fingerprints to the department of public safety for the purpose of obtaining a state and federal criminal records check pursuant to section 41-1750 and Public Law 92-544. The department of public safety may exchange this fingerprint data with the federal bureau of investigation.

D. An application for licensure as an investment adviser shall be accompanied by payment of the licensure fee prescribed in section 44-3181.

E. A federal covered adviser may transact business in this state as an investment adviser if the federal covered adviser makes a notice filing with the commission through the IARD. If the IARD does not provide for receipt of a filing, the filing may be made with the commission by mail or any other method that is reasonably acceptable to the commission.

F. The notice filing shall consist of all of the following:

1. Copies of those documents that are filed with the SEC and that the commission requires to be filed.

2. A consent to service of process.

3. A notice filing fee as prescribed in section 44-3181.

G. A notice filing is effective on compliance with the requirements of subsection E of this section and remains effective until December 31 unless it is renewed before that time by filing with the commission any renewal documents prescribed by the commission along with the notice filing fee prescribed in section 44-3181.

H. A federal covered adviser may terminate a notice filing by notifying the commission of that termination through the IARD. If the IARD does not provide for receipt of a filing, the filing may be made with the commission by mail or any other method that is reasonably acceptable to the commission.

Notes of Decisions

Cited in 7 cases, 1979–1983 · leading case: Gulf Homes, Inc. v. Goubeaux, 664 P.2d 183 (Ariz. 1983).

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Gulf Homes, Inc. v. Goubeaux, 664 P.2d 183 (Ariz. 1983). · cites it 16× “Is the seller entitled to a new trial because of alleged inconsistent jury verdicts? *35 2. Is the seller entitled to judgment notwithstanding the verdict on the buyers’ counterclaim for commercially unreasonable disposition of the mobile home pursuant to A.”

Gulf Homes, Inc. v. Gonzales, 676 P.2d 635 (Ariz. Ct. App. 1983). · cites it 12× “We believe this does represent a penalty for early payment and therefore failure to adequately disclose it was a violation of 12 C.”

W. Coach Corp. v. Rexrode, 634 P.2d 20 (Ariz. Ct. App. 1981). · cites it 6× “Western did not sell the mobile home within 90 days, so Western is liable under A.R.S. § 44-3153 for damages of ten per cent of the principal amount of the debt or the time price differential, plus ten per cent of the cash price.”

Gulf Homes, Inc. v. Goubeaux, 602 P.2d 810 (Ariz. 1979). · cites it 4× “Some approved methods of conducting a sale of collateral are set forth in A.R.S. § 44-3153(B) which provides inter alia, that if the secured party has “sold in conformity with reasonable commercial practices among dealers in the type of property sold he has sold in a…”

Babbitt Ford, Inc. v. Navajo Indian Tribe, 710 F.2d 587 (9th Cir. 1983). “code section has been adopted without material modification by both Arizona, Ariz.Rev.Stat.Ann. § 44-3153 (1967), and New Mexico, N.”

Gulf Homes, Inc. v. Goubeaux, 602 P.2d 815 (Ariz. Ct. App. 1979). · cites it 2× “A.R.S. § 44-3153(B). 4 . A.R.S. § 44-3150.”

— Ariz. Rev. Stat. § 44-3153(A) — 4 cases

Gulf Homes, Inc. v. Goubeaux, 664 P.2d 183 (Ariz. 1983). “Is the seller entitled to a new trial because of alleged inconsistent jury verdicts? *35 2. Is the seller entitled to judgment notwithstanding the verdict on the buyers’ counterclaim for commercially unreasonable disposition of the mobile home pursuant to A.”

Gulf Homes, Inc. v. Gonzales, 676 P.2d 635 (Ariz. Ct. App. 1983). “We believe this does represent a penalty for early payment and therefore failure to adequately disclose it was a violation of 12 C.”

W. Coach Corp. v. Rexrode, 634 P.2d 20 (Ariz. Ct. App. 1981). “Western did not sell the mobile home within 90 days, so Western is liable under A.R.S. § 44-3153 for damages of ten per cent of the principal amount of the debt or the time price differential, plus ten per cent of the cash price.”

— Ariz. Rev. Stat. § 44-3153(B) — 2 cases

Gulf Homes, Inc. v. Goubeaux, 602 P.2d 810 (Ariz. 1979). “Some approved methods of conducting a sale of collateral are set forth in A.R.S. § 44-3153(B) which provides inter alia, that if the secured party has “sold in conformity with reasonable commercial practices among dealers in the type of property sold he has sold in a…”

Gulf Homes, Inc. v. Goubeaux, 602 P.2d 815 (Ariz. Ct. App. 1979). “A.R.S. § 44-3153(B). 4 . A.R.S. § 44-3150.”

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