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Form ADV Part 2B Brochure Supplement United Brokerage Services, Inc. 514 Market Street, Parkersburg, WV 26101 8884246158 www.unitedbrokerage.com April 23, 2015, This FORM ADV Part 2B, also called
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How to fill out form adv part 2b
How to fill out Form ADV Part 2B:
01
Start by providing your firm's name, CRD number, and the date the form is being completed.
02
Provide the contact information for the person at your firm who can answer client inquiries about the form.
03
Disclose any material changes to the information previously reported on Form ADV Part 2A.
04
If applicable, provide an explanation for any disciplinary events or legal proceedings involving your firm or its personnel.
05
Disclose any financial industry affiliations your firm has or any compensation arrangements related to the products or services you offer.
06
Provide details about your firm's direct and indirect ownership, including the names of individuals or entities holding a 25% or more ownership interest.
07
Describe the qualifications and business background of your firm's key personnel, including education, work experience, and any disciplinary history.
08
Explain any material relationships your firm has with other financial industry participants or service providers.
09
Disclose any additional compensation your firm or its personnel receive related to the products or services you offer.
10
Describe any potential conflicts of interest your firm faces and explain how you address or mitigate these conflicts.
11
Provide details about the specific investment strategies or methods used by your firm and the risks associated with those strategies.
12
Disclose any material changes to your firm's policies and procedures since your last Form ADV Part 2B filing.
13
Finally, certify the accuracy and completeness of the information provided and sign and date the form.
Who needs Form ADV Part 2B:
01
Registered investment advisers (RIAs) are required by the Securities and Exchange Commission (SEC) to file Form ADV Part 2B.
02
RIAs who provide personalized investment advice to their clients must provide a brochure or brochure supplement (Form ADV Part 2B) to their clients.
03
The form is intended to provide clients with important information about the firm, its personnel, services, fees, and potential conflicts of interest.
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What is form adv part 2b?
Form ADV Part 2B is a document that provides information about individual investment adviser representatives of a firm.
Who is required to file form adv part 2b?
Individual investment adviser representatives are required to file Form ADV Part 2B.
How to fill out form adv part 2b?
Form ADV Part 2B can be filled out by providing all required information about the individual investment adviser representative, their qualifications, business practices, and any disciplinary history.
What is the purpose of form adv part 2b?
The purpose of Form ADV Part 2B is to provide clients with information about the individual investment adviser representative's background, qualifications, and business practices.
What information must be reported on form adv part 2b?
Form ADV Part 2B must include information such as the individual's educational background, business experience, other business activities, and any disciplinary history.
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