Get the free Form ADV Part 2A (Brochure) - Commerce Bank

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Item 1 Cover Waveform ADV Part 2A (Brochure) Commerce Brokerage Services, Inc. 8000 Forsyth, Suite 1200 Clayton, MO 63105 (800) 7727283 www.commercebank.com/brokerageJanuary 10, 2014This Brochure

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How to fill out form adv part 2a

01

Step 1: Obtain a copy of Form ADV Part 2A, which can be found on the U.S. Securities and Exchange Commission (SEC) website.

02

Step 2: Review the instructions provided with the form to familiarize yourself with the required information and disclosure requirements.

03

Step 3: Begin filling out the form by providing general information about your firm, such as its name, address, and contact details.

04

Step 4: Provide information about the ownership and control of your firm, including identifying any individuals or entities with a significant stake or role.

05

Step 5: Disclose any disciplinary history or legal proceedings involving your firm or its employees, if applicable.

06

Step 6: Describe your firm's investment strategy and approach, including the types of securities you typically invest in and any specific methodologies or criteria used.

07

Step 7: Provide details about the fees and compensation your firm charges, including any potential conflicts of interest that may arise.

08

Step 8: Include information about the qualifications and experience of key personnel within your firm, such as senior investment advisers.

09

Step 9: Disclose any affiliations or relationships that may present a conflict of interest or potential bias in the advice you provide.

10

Step 10: Review the completed form for accuracy and completeness, making any necessary revisions or additions.

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Step 11: Sign and date the form, certifying that the information provided is true and accurate to the best of your knowledge.

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Step 12: Keep a copy of the completed Form ADV Part 2A for your records and submit it to the SEC as required.

Who needs form adv part 2a?

01

Form ADV Part 2A is required for registered investment advisers (RIAs) who are registered with the U.S. Securities and Exchange Commission (SEC) or state securities regulators.

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What is form adv part 2a?

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

Who is required to file form adv part 2a?

Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients and prospective clients with 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 investment advisers to report information about their business practices, fees, services, and conflicts of interest.

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