Every year, in early January, the Financial Industry Regulatory Authority (FINRA) sends an email to registered investment advisors requiring that the RIA log onto the Investment Advisor Registration Depository (IARD) website to confirm the individuals who have access to that system on behalf of the advisory firm. FINRA includes a deadline within their email along with a link for the certification process. Advisors who do not complete the process by FINRA’s deadline have their account suspended. This is not a difficult process and takes all of about 5 minutes to complete. Save the trouble of being locked out of the IARD system and complete the process now.
