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United Planners Financial Services Form ADV Part 2AContact Person: Billy Oliver, Chief Marketing Officer 7333 E. Double tree Ranch Road, Suite 120 Scottsdale, AZ 85258 Tel: 480.991.0225 / Fax: 480.503.8173 www.unitedplanners.com This

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How to fill out form adv 2a

01

To fill out Form ADV 2A, follow these steps:

02

Start by providing the general information about your firm, such as its name, address, and contact details.

03

Next, disclose your firm's ownership structure and describe any material changes that have occurred.

04

Provide information about your firm's other business activities, if any.

05

Disclose any disciplinary events, legal proceedings, or material conflicts of interest that may exist.

06

Describe the types of clients your firm serves and the investment strategies you offer.

07

Provide information about your firm's fees, compensation, and potential conflicts of interest.

08

Explain your firm's policies and procedures for safeguarding client assets and preventing fraud.

09

Disclose any affiliations, relationships, or compensation arrangements that may exist.

10

If applicable, provide information about your firm's wrap fee program.

11

Finally, sign and date the form, and make sure to keep a copy for your records.

Who needs form adv 2a?

01

Form ADV 2A is required for investment advisers who are registered with the Securities and Exchange Commission (SEC). It is used to provide essential information about the adviser's business practices, investment strategies, and potential conflicts of interest to clients and regulators. Any investment adviser who meets the criteria for SEC registration must file Form ADV 2A.

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What is form adv 2a?

Form ADV 2A is a document that investment advisers are required to file with the Securities and Exchange Commission (SEC) or state securities regulators.

Who is required to file form adv 2a?

Investment advisers registered with the SEC or state securities regulators are required to file Form ADV 2A.

How to fill out form adv 2a?

Form ADV 2A can be filled out electronically using the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv 2a?

The purpose of Form ADV 2A is to provide clients and prospective clients with important information about an investment adviser, including services offered, fees charged, disciplinary history, and conflicts of interest.

What information must be reported on form adv 2a?

Form ADV 2A requires information such as the investment adviser's business practices, ownership, affiliations, disciplinary history, fees, and conflicts of interest.

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