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Date: March 15, 2017Form ADV Part 2A: Disclosure Brochure
Fleming Financial Group, LLC
7856 Far Street
Charleston, SC 29492
Telephone: 8434753038
Email: Ryan×flemingfg.com
Website: www.flemingfg.comThis
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How to fill out form adv part 2a
How to fill out form adv part 2a
01
To fill out Form ADV Part 2A, follow these steps:
02
Obtain the necessary documents: Gather all the relevant information, such as your firm's background, investment strategies, client types, fees, and potential conflicts of interest.
03
Review the instructions: Read the instructions provided by the Securities and Exchange Commission (SEC) carefully to understand the requirements and guidance for completing the form.
04
Start with the cover page: Fill in your firm's name, address, contact information, and other identifying details as requested.
05
Complete the sections: Go through each section of the form one by one, providing accurate and detailed information about your firm, its personnel, business practices, investment strategies, and any potential conflicts of interest.
06
Disclose disciplinary events: If your firm or any of its key personnel have been involved in any disciplinary events or legal actions, provide the required details as per the instructions.
07
Include any necessary attachments: If there are additional documents or disclosures required to support the information provided in the form, make sure to attach them appropriately.
08
Review and verify: Double-check all the filled information to ensure accuracy and completeness. Make sure the form is signed and dated by the appropriate authority within your firm.
09
Submit the form: File the completed Form ADV Part 2A electronically through the Investment Adviser Registration Depository (IARD) system as instructed.
10
Keep a copy: Make sure to keep a copy of the filled form and any supporting documents for your records and potential future reference.
Who needs form adv part 2a?
01
Form ADV Part 2A is required for investment advisers registered with the Securities and Exchange Commission (SEC) or state securities authorities.
02
It is a disclosure document that provides important information about the advisory firm, its business practices, investment strategies, fees, potential conflicts of interest, and disciplinary events.
03
Investment advisers who manage at least $25 million in assets are required to register with the SEC and file Form ADV Part 2A accordingly.
04
Even advisers with less than $25 million in assets under management may need to file Form ADV Part 2A with their state securities authorities, as registration requirements vary by state.
05
The form is meant to ensure transparency and provide clients and potential investors with essential information to make informed decisions about engaging the services of an investment adviser.
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What is form adv part 2a?
Form ADV Part 2A is a form to register as an investment advisor with the Securities and Exchange Commission (SEC).
Who is required to file form adv part 2a?
Investment advisors registered with the 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 with information about an investment advisor's services, fees, and conflicts of interest.
What information must be reported on form adv part 2a?
Form ADV Part 2A requires information about an investment advisor's business practices, conflicts of interest, disciplinary history, and fees.
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