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Get the free Form ADV Part 2A Disclosure Brochure - calton.com

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Form ADV Part 2A Disclosure Brochure December 18, 2017 2701 N. Rocky Point Drive Suite 1000 Tampa, FL 33607Telephone: 8132640440 Facsimile: 8139628692 www.caltonadvisors.com www.calton.comEmail: compliance
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How to fill out form adv part 2a

01
To fill out Form ADV Part 2A, follow the steps below:
02
Begin by providing your firm's name, address, and contact information.
03
Identify whether your firm is an investment adviser or a financial planning firm.
04
Disclose your firm's business practices, including the types of advisory services offered.
05
Provide details about your firm's ownership and control, including any affiliations with other financial companies.
06
Describe any disciplinary history or legal actions taken against your firm or its employees.
07
Explain your firm's fee structure and how fees are calculated.
08
Disclose any conflicts of interest that may exist within your firm.
09
Describe your firm's investment strategies and methodologies.
10
Provide information about your firm's employees, including their qualifications and experience.
11
Include any additional information or disclosures that are required by the SEC.
12
Remember to review the form for accuracy and completeness before submitting it.

Who needs form adv part 2a?

01
Form ADV Part 2A is required for investment advisers registered with the Securities and Exchange Commission (SEC).
02
It is used to provide information to clients and prospective clients about the advisor's business practices, fee structure, and potential conflicts of interest.
03
If your firm meets the definition of an investment adviser under the Investment Advisers Act of 1940 and is required to register with the SEC, you will need to fill out Form ADV Part 2A.
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Form ADV Part 2A is a document filed by investment advisers with the SEC that provides information about the adviser's business practices, conflicts of interest, fees, and disciplinary history.
Investment advisers registered with the SEC are required to file Form ADV Part 2A.
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
The purpose of Form ADV Part 2A is to provide clients with information about an investment adviser's business practices, fees, and potential conflicts of interest.
Information that must be reported on Form ADV Part 2A includes business practices, fees, conflicts of interest, and disciplinary history.
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