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HILLTOP SECURITIES INDEPENDENT NETWORK INC. INVESTMENT MANAGEMENT GROUP Russell Strategies Supervisor/Adviser Guide Investment Adviser Use Only Do Not Distribute January 2016 Table of Contents About

How to fill out investment adviser use only

Point by point, here is a guide on how to fill out an investment adviser use only form:

1. Start by thoroughly reading the instructions provided with the form. This will give you a clear understanding of the information required and the specific guidelines to follow.
2. Begin filling out the form by providing your personal information. This typically includes your name, address, contact details, and social security number.
3. The next section usually requires you to provide details about the investment adviser with whom you are associated. This may include the name of the firm, its registration number, and contact information.
4. Proceed to fill out the sections that relate to your professional qualifications, experience, and educational background. Include any certifications or licenses you currently hold that are relevant to the investment advisory industry.
5. The form may also ask you to disclose if you or any of your associates have been subject to any legal or disciplinary actions. Be honest and provide accurate information in this section.
6. In some cases, you may need to provide additional documentation along with the form. This can include copies of your educational degrees, certifications, or any other supporting documents required by the regulatory authorities.

Now, let's discuss who needs an investment adviser use only form:

1. Financial professionals: Investment adviser use only forms are typically required for individuals or entities that are providing investment advice or managing client portfolios. This can include investment advisers, financial planners, investment managers, and other similar professionals.
2. Registered investment advisers: Individuals or firms that are registered with the regulatory authorities as investment advisers are usually required to submit an investment adviser use only form. This helps maintain transparency and regulatory compliance.
3. Compliance officers: Compliance officers within financial institutions or investment advisory firms may also need to use this form to document their compliance efforts and ensure that their activities align with the applicable regulations.

Overall, anyone who is involved in providing investment advice, managing investment portfolios, or working in a supervisory or compliance capacity in the investment industry may need to fill out an investment adviser use only form. It is important to consult with the relevant regulatory authorities or legal professionals to determine the exact requirements based on your specific circumstances.

For pdfFiller’s FAQs

What is investment adviser use only?

Investment adviser use only is a designation for materials or information that is intended solely for use by investment advisers and not for distribution to clients or the public.

Who is required to file investment adviser use only?

Investment advisers who create materials or information designated for internal use only are required to file investment adviser use only.

How to fill out investment adviser use only?

To fill out investment adviser use only, investment advisers need to clearly label the materials or information as 'For Investment Adviser Use Only' and ensure it is not distributed outside the firm.

What is the purpose of investment adviser use only?

The purpose of investment adviser use only designation is to protect sensitive or proprietary information from being shared with clients or the public.

What information must be reported on investment adviser use only?

Any information or materials that are confidential, proprietary, or intended for internal use only must be reported on investment adviser use only.

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