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INVESTMENT ADVISOR INFORMATION NAME: COST CODE: DATE: CRD#: I DO hold a Series 65/66 License DO NOT hold a Series 65/66 License I DO plan to conduct Investment Advisory business DO NOT plan to conduct
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How to fill out investment advisor information:

01
Begin by providing your personal information, including your full name, contact details, and any professional qualifications or certifications you hold in the field of investment advising.
02
Next, provide information about your educational background, including any degrees or relevant courses you have completed. This helps establish your expertise in the field.
03
Include details about your professional experience as an investment advisor. This may include the number of years you have been in the industry, any specific areas of specialization, and any relevant professional memberships or affiliations.
04
Provide information about your investment philosophy and approach. This helps potential clients understand your guiding principles and the investment strategies you use.
05
Detail any specific services you offer as an investment advisor, such as financial planning, portfolio management, retirement planning, or tax advice.
06
Outline your fee structure, including any management fees, commissions, or other charges that clients can expect to pay for your services. Be transparent and clear about how you are compensated.
07
Provide references or testimonials from satisfied clients, if available. This can help build trust and credibility with potential clients.
08
Finally, ensure that all the information you provide is accurate, up-to-date, and compliant with any legal or regulatory requirements in your jurisdiction.

Who needs investment advisor information?

01
Individuals who are looking for professional guidance and advice on managing their investments and financial goals.
02
Businesses or organizations seeking strategic investment advice or assistance in managing their investment portfolios.
03
Individuals or entities considering hiring an investment advisor and wanting to evaluate the credibility and expertise of potential advisors.
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Investment advisor information includes details about the advisor's background, services offered, fees, and any conflicts of interest.
Investment advisors registered with the Securities and Exchange Commission (SEC) or state securities regulators are required to file investment advisor information.
Investment advisor information can be filled out online through the Investment Advisor Registration Depository (IARD) system.
The purpose of investment advisor information is to provide transparency to investors and regulatory authorities about the advisor's qualifications, services, and potential conflicts of interest.
Investment advisor information typically includes the advisor's contact information, registration status, disciplinary history, services offered, fees, and conflicts of interest.
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