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Form ADV Part 2A
Cover Page
Firm Name: Turning Point Financial, Inc. Mailing Address: 1114 Baron Rd. Wax haw, NC 28173
Physical Address: 13850 Ballantyne Corp Pl. Ste. 500 Charlotte, NC 28277
Phone:
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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
Begin by entering your firm's name, address, and contact information in Section 1.
03
In Section 2, provide details about your firm's ownership, control, and affiliates.
04
Section 3 requires information about your firm's disciplinary history, if applicable.
05
Describe your firm's business in Section 4, including the types of advisory services offered.
06
Section 5 is dedicated to the employment history and qualifications of your firm's key personnel.
07
In Section 6, disclose any other business activities conducted by your firm or its personnel.
08
Section 7 requires information on your firm's financial industry affiliations.
09
Provide details about your firm's custody of client assets in Section 8, if applicable.
10
Section 9 covers information on your firm's participation in wrap fee programs, if applicable.
11
If your firm receives compensation for the sale of securities or other investment products, disclose it in Section 10.
12
Section 11 requires information regarding your firm's brokerage practices.
13
In Section 12, disclose any potential conflicts of interest your firm may have.
14
Section 13 covers information on your firm's financial information, including balance sheet details.
15
Finally, sign and date the form in Section 14.
16
Ensure that you review the instructions provided by the SEC when completing the form to ensure accuracy and compliance.
Who needs form adv part 2a?
01
Form ADV Part 2A is required for investment advisers registered with the Securities and Exchange Commission (SEC) and state securities authorities.
02
It is necessary for firms providing investment advisory services to clients.
03
Individuals or entities engaged in the business of providing investment advice on a regular basis are required to file Form ADV Part 2A.
04
This includes firms managing assets, providing financial planning services, or offering investment recommendations.
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What is form adv part 2a?
Form ADV Part 2A is a disclosure document that provides information about an investment advisor, including services offered, fees charged, and disciplinary information.
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 and potential clients with key information about an investment advisor's business practices.
What information must be reported on form adv part 2a?
Information such as investment strategies, fees, conflicts of interest, disciplinary history, and more must be reported on Form ADV Part 2A.
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