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Get the free SEC Form ADV Part 2A - FB - (clean) 20170329

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SECFormADVPart 2A SterlingCapitalManagement, Inc. 1801JenniferLane Waukesha,Wisconsin53186 Telephone:2629709700 Fax:2629709740 March30,2017 This brochure provides information about the qualifications
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How to fill out sec form adv part

01
To fill out SEC Form ADV Part, you need to follow these steps:
02
Begin by providing your basic information, including your name, CRD number, and contact details.
03
Indicate the type of filing you are making and provide the effective date of your registration if applicable.
04
Fill out the sections pertaining to your business operations, including the types of clients you serve and the services you offer.
05
Provide details about your affiliations with other financial firms, if any.
06
Disclose any disciplinary history or conflicts of interest that you or your firm may have.
07
Submit any additional required information or attachments as specified by the SEC.
08
Review your completed form for accuracy and make any necessary corrections before filing.
09
Sign and date the form to certify its accuracy.
10
File the completed Form ADV Part with the SEC and any relevant state securities authorities, if required.
11
Note: It is recommended to consult with a qualified attorney or compliance professional to ensure you are accurately and thoroughly completing the form.

Who needs sec form adv part?

01
SEC Form ADV Part must be filled out by investment advisers who are registered with the U.S. Securities and Exchange Commission (SEC) or those who meet specific thresholds for exempt reporting advisers.
02
The form is necessary to provide the SEC with detailed information about the adviser's business practices, financial situation, clients, affiliations, and potential conflicts.
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SEC Form ADV Part is a required disclosure document that investment advisors must file with the Securities and Exchange Commission (SEC).
Registered investment advisors (RIAs) are required to file SEC Form ADV Part.
To fill out SEC Form ADV Part, investment advisors must provide information about their business practices, fees, conflicts of interest, and other key details.
The purpose of SEC Form ADV Part is to provide transparency to clients and regulators about an investment advisor's business operations and potential conflicts of interest.
SEC Form ADV Part requires investment advisors to report information such as their assets under management, fee schedule, ownership structure, and disciplinary history.
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