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Form ADV Part 2B Firm Brochure Supplement Page 2 of 67 Tables OF CONTENTS Timothy M. Amen Melanie M. Arena Bryce E. Baker Michael J. Battalion Mark Bernazzani Charles E. Brighton Kelly Brown Matthew
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How to fill out firm brochure supplement
How to fill out firm brochure supplement:
01
Start by gathering all relevant information about your firm, including its name, address, contact details, and any other necessary details.
02
Identify the specific sections that the firm brochure supplement requires. This may include information about your firm's key personnel, disciplinary history, and affiliations.
03
Make sure to review all applicable regulations and guidelines provided by the relevant regulatory authority. This will ensure that you include all required information and comply with all necessary standards.
04
Organize the information in a clear and concise manner. Use headings, bullet points, and subheadings to make the brochure supplement easy to read and navigate.
05
Include any necessary disclosures and disclaimers to ensure that the information provided is accurate and transparent.
06
Proofread the brochure supplement to check for any errors or inconsistencies in the information provided. It is important to present a professional and well-written document.
07
Print and distribute the firm brochure supplement to clients, potential clients, and any other parties who may require this information.
Who needs firm brochure supplement:
01
Registered investment advisers: Investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities authorities are required to provide a firm brochure supplement to their clients.
02
Prospective clients: Individuals who are considering hiring an investment adviser may request a firm brochure supplement to gather information about the firm's qualifications, experience, and services.
03
Regulatory authorities: The SEC or state securities authorities may request a firm brochure supplement as part of their routine examinations or investigations into registered investment advisers. It serves as a tool for assessing compliance with disclosure requirements and ensuring investor protection.
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What is firm brochure supplement?
The firm brochure supplement is a document that provides additional information about the individuals working for a financial advisory firm.
Who is required to file firm brochure supplement?
Financial advisory firms are required to file a firm brochure supplement.
How to fill out firm brochure supplement?
The firm brochure supplement can be filled out by providing details about the firm's employees, their qualifications, services offered, fees charged, and any disciplinary history.
What is the purpose of firm brochure supplement?
The purpose of the firm brochure supplement is to provide clients with additional information about the individuals providing financial advice and services.
What information must be reported on firm brochure supplement?
The firm brochure supplement should include information about the firm's employees, such as their educational background, work experience, and any disciplinary history.
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