Get the free WFA (Form ADV Part 2AB) FILED AA 5.25.18

WFA ASSET MANAGEMENT CORPORATION FORM ADV PART 2A (BROCHURE) 633 EAST HENRY CLAY STREET WHITEFISH BAY, WI 53217 4147278181 WWW.ASSET.COMMA 25, 2018This Brochure provides information about the qualifications

How to fill out wfa form adv part

How to fill out wfa form adv part

1. To fill out the WFA Form ADV Part, follow these steps:
2. Start by providing general information about your firm, including its legal name, address, and contact information.
3. Specify whether your firm is an investment adviser, a pension consultant, or both.
4. Indicate the types of clients your firm serves, such as individuals, high-net-worth individuals, corporations, or pension plans.
5. Provide details about your firm's ownership structure and whether it is a sole proprietorship, partnership, corporation, or limited liability company.
6. Disclose any disciplinary events or legal actions involving your firm or its employees.
7. Describe your firm's investment strategies, including the types of securities and assets you manage.
8. Provide information about your firm's fee structure, including any performance-based fees or other compensation arrangements.
9. Detail your firm's conflicts of interest and how you mitigate them.
10. Explain your firm's code of ethics and compliance policies.
11. Finally, review the completed form for accuracy and make any necessary corrections before submitting it to the appropriate regulatory authorities.

Who needs wfa form adv part?

1. The WFA Form ADV Part is required for investment advisers and pension consultants who are registered with the U.S. Securities and Exchange Commission (SEC) or state securities authorities.
2. This form provides important information about the firm's business practices, its owners, and its investment strategies, helping to ensure transparency and protect investors.

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What is wfa form adv part?

The wfa form adv part is a form that must be filed by investment advisors with the Securities and Exchange Commission (SEC).

Who is required to file wfa form adv part?

Investment advisors registered with the SEC are required to file wfa form adv part.

How to fill out wfa form adv part?

To fill out wfa form adv part, investment advisors must provide information about their firm, the services they offer, their fee structure, and any conflicts of interest.

What is the purpose of wfa form adv part?

The purpose of wfa form adv part is to provide the SEC and clients with information about an investment advisor's business operations, services, and potential conflicts of interest.

What information must be reported on wfa form adv part?

Information that must be reported on wfa form adv part includes details about the advisor's business practices, disciplinary history, and other key aspects of their operations.