Get the free Form ADV 2A: Financial Planning - D.A. Davidson & Co.

Part 2A of Form ADV Firm Brochure Financial Planning Services 8 Third Street North Great Falls, Montana 59401 Telephone: 406-727-4200 or 800-332-5915 Email: adv×dadco.com www.davidsoncompanies.com December

In addition, some services offered by D.A. Davidson & Co., such as those described below, are regulated by the SEC Or FINRA, the NASDAQ Stock Market (“NASDAQ”) or the New York Stock Exchange. When used in this brochure, the term “invested” means an “investor” as defined in the Securities Act of 1933, the U.S. Securities and Exchange Commission. Any investor or broker-dealer other than our affiliates and affiliates of our affiliates. may be an “invested” under the federal securities laws and/or may have an obligation to file an Annual Report as required by The U.S. Securities and Exchange Commission or any state securities commission. Our business is not supervised by, or affiliated with, any. Regulatory agency. Firm Brochure Firm Brochure -- Part 1 The following forms are available on the Investor Relations Website (): Firm Brochure Financial Planning Services Firm Brochure — Part 2A of Form ADV This Brochure is a copy or facsimile of a facsimile of the original firm's document titled, “Firm Brochure,” and has been scanned at 400 dpi using Acrobat Pro, a free software for Adobe Acrobat Reader. This copy of the. Brochure was received on November 15, 2016. These facts do not modify, modify the representations and warranties. Contained in the original document.

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What is form adv 2a financial?

Form ADV 2A Financial is a document that registered investment advisers (RIAs) must file with the Securities and Exchange Commission (SEC). It is a part of Form ADV, which is used to register with the SEC and provide information about the adviser's business operations and financial situation.

Who is required to file form adv 2a financial?

Registered investment advisers are required to file Form ADV 2A Financial. This includes advisers who manage assets worth $110 million or more and who are qualified to register with the SEC.

How to fill out form adv 2a financial?

To fill out Form ADV 2A Financial, advisers need to provide detailed information about their financial situation, including balance sheets, income statements, and other financial disclosures. The form must be completed accurately and submitted electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv 2a financial?

The purpose of Form ADV 2A Financial is to enable the SEC and investors to assess the financial health and stability of registered investment advisers. It ensures transparency and helps protect investors by providing relevant financial information.

What information must be reported on form adv 2a financial?

Form ADV 2A Financial requires registered investment advisers to report their balance sheets, income statements, supporting schedules, and other financial disclosures. This includes information about the adviser's assets, liabilities, revenue, expenses, and any material changes in their financial condition.

When is the deadline to file form adv 2a financial in 2023?

The exact deadline to file Form ADV 2A Financial in 2023 will depend on the SEC's specific requirements and any changes made to the filing deadline. Advisers should consult the SEC's official website or contact their compliance professionals for the most up-to-date information.

What is the penalty for the late filing of form adv 2a financial?

The penalty for the late filing of Form ADV 2A Financial can vary depending on the circumstances and the SEC's enforcement actions. Generally, late filings can result in fines or sanctions imposed by the SEC, which can have negative consequences for registered investment advisers.

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