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GFS Golden Financial Services, LLC 6021 S Syracuse Way, Suite 311 Greenwood Village, CO 80111 FORM ADV Part 2A: Firm Brochure This part of FORM ADV gives information about the investment adviser and
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How to fill out form adv part 2a
How to fill out form adv part 2a:
01
Start by obtaining the form. Form ADV Part 2A is a required disclosure document filed with the U.S. Securities and Exchange Commission (SEC) by registered investment advisers. You can find the form on the SEC's website or through your investment adviser.
02
Begin filling out the form by providing general information about your firm. This includes your firm's name, address, phone number, and website. You may also need to provide information about any affiliated firms.
03
Next, provide information about your firm's ownership. This includes details about your ownership structure, any individuals with control over the firm, and any disciplinary events involving the firm or its employees.
04
Follow this by filling in your firm's key personnel. This includes information about your investment adviser representatives, their roles within the firm, and any professional designations or licenses they hold.
05
Provide details about your firm's advisory business. This includes information about the types of clients you serve, your fee structure, and the services you offer.
06
Proceed by disclosing any conflicts of interest your firm may have. This includes any financial or personal relationships that could potentially impact your advice or services to clients.
07
Move on to provide information about your firm's disciplinary history. This includes any legal or disciplinary events involving your firm or its key personnel.
08
Finally, complete the form by signing and dating it. You may also need to have it signed by a principal or authorized representative of your firm.
Who needs form adv part 2a:
01
Registered investment advisers: Form ADV Part 2A is specifically required for registered investment advisers. If your firm provides advice on securities for compensation and has over a certain amount in assets under management, you are likely required to register with the SEC and file this form.
02
Clients and potential clients: Form ADV Part 2A provides important information that clients and potential clients of an investment adviser should have access to. It includes details about the firm's background, services, fees, and key personnel, allowing clients to make informed decisions about whether to engage the services of the adviser.
03
Regulatory authorities: The SEC requires registered investment advisers to file Form ADV Part 2A as a means of providing transparency and oversight. It allows regulatory authorities to review and evaluate the operations and practices of investment advisers in order to protect investors and maintain fair and orderly markets.
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What is form adv part 2a?
Form ADV Part 2A is a regulatory filing required by the U.S. Securities and Exchange Commission (SEC) for investment advisers.
Who is required to file form adv part 2a?
Registered investment advisers are required to file Form ADV Part 2A.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients with information about an investment adviser's business practices, conflicts of interest, and disciplinary history.
What information must be reported on form adv part 2a?
Information that must be reported on Form ADV Part 2A includes investment strategies, fees, services offered, and conflicts of interest.
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