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FORM ADV PART 2A FIRM BROCHURE First Allied Securities, Inc. 655 West Broadway, 11th Floor San Diego, CA 92101 800-499-5489 http://www.firstallied.com This brochure provides information about the

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by reviewing the instructions provided by the Securities and Exchange Commission (SEC) for Form ADV Part 2A. These instructions will provide important guidance on how to accurately complete the form.
2. Gather all the necessary information and documents required to complete Form ADV Part 2A. This includes details about your firm's background, services offered, and any potential conflicts of interest.
3. Begin filling out the form by providing basic information about your firm, such as its legal name, address, and contact information. Make sure to accurately enter all the required information in the designated fields.
4. Move on to the next sections of the form, which typically include information about your firm's ownership, any disciplinary history, and any affiliations with other firms. Carefully review each question and provide accurate responses or explanations where necessary.
5. As you progress through Form ADV Part 2A, you will need to provide detailed information about the services your firm offers, including any investment strategies employed and the types of clients you serve. Be thorough in your explanations and provide all required information.
6. Next, you will need to disclose any potential conflicts of interest that may exist within your firm. This could include relationships with service providers, compensation arrangements, or personal investments. Again, it is important to be transparent and provide accurate and complete disclosure.
7. Once you have completed all the sections of Form ADV Part 2A, carefully review your responses and ensure that all required fields have been filled out accurately. Double-check for any errors or omissions before submitting the form.

Who needs Form ADV Part 2A:

1. Investment advisers registered with the SEC are required to file Form ADV, which includes Part 2A as a disclosure document. This form provides crucial information to clients and prospective clients about the adviser's services, fees, and potential conflicts of interest.
2. Form ADV Part 2A is particularly important for investment advisers offering personalized investment advice and managing client assets. It helps clients make informed decisions about whether to engage the services of a particular investment adviser.
3. Even if your firm falls under certain exemptions or exceptions from SEC registration, it may still be required to provide a simplified version of Form ADV Part 2A to clients, commonly known as Form CRS (Customer Relationship Summary).

In summary, Form ADV Part 2A should be completed by investment advisers registered with the SEC or those required to provide a simplified version of the form to clients. By following the instructions provided by the SEC and accurately completing the form, you can provide clients with transparent and informative disclosure about your firm's services and potential conflicts of interest.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a required disclosure document that provides information about an investment adviser's business practices, fees, conflicts of interest, and disciplinary history.

Who is required to file form adv part 2a?

Investment advisers registered with the Securities and Exchange Commission (SEC) or state securities regulators 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. The form requires detailed information about the adviser's business practices, fees, and conflicts of interest.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients and prospective clients with important information about an investment adviser's services, fees, and potential conflicts of interest.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires information on an investment adviser's business practices, fees, conflicts of interest, disciplinary history, and other important disclosures.

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