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FIRM BROCHURE(PART 2A OF FORM ADV)Cape Ann Capital, Inc. 13 Wood crest Road Manchester, MA 01944 (978) 5267541 (O) (979) 5267542 (F) www.capeanncapital.com Dave×capeanncapital.com December 31, 2017This
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To fill out CAC-FINRA Form ADV Part 2A, follow these steps:
02
Start by providing your firm's name, address, and contact information.
03
Next, provide details about your firm's ownership structure and any related persons.
04
Include information about your firm's investment advisory services, such as the types of clients you serve and the investment strategies you employ.
05
Disclose any material conflicts of interest that may exist between your firm and its clients.
06
Provide information about your firm's fees and compensation, including how you calculate and collect fees.
07
Discuss any disciplinary history or legal actions involving your firm or its employees.
08
Finally, make sure to review the completed form for accuracy and sign it.
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Note: The specific requirements for filling out CAC-FINRA Form ADV Part 2A may vary, so it's important to consult the official instructions and guidelines from FINRA.

Who needs cac-finra-form adv part 2adoc?

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CAC-FINRA Form ADV Part 2A is required for investment advisory firms who are registered with the Financial Industry Regulatory Authority (FINRA). It is used to provide important information to clients and prospective clients about the firm's services, fees, and any potential conflicts of interest. Compliance with this form is necessary for firms operating within the jurisdiction of FINRA.
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cac-finra-form adv part 2adoc is a document required to be filed by financial advisors with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Financial advisors and advisory firms registered with the SEC or state securities regulators are required to file cac-finra-form adv part 2adoc.
cac-finra-form adv part 2adoc can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
The purpose of cac-finra-form adv part 2adoc is to provide clients with important information about a financial advisor's business practices, conflicts of interest, and other key details.
cac-finra-form adv part 2adoc must include information about the advisor's services, fees, disciplinary history, and other important disclosures.
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