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7/27/2020IARD All Sections Username: lduntz4, Org ID: 283723 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: WADDELL
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To fill out Form ADV - Waddell, follow these steps:
02
Begin by providing your name, address, and contact information.
03
Fill in the sections related to your firm, including its legal structure and ownership details.
04
Include information about the services your firm offers and the types of clients you serve.
05
Provide details about your firm's employees and their qualifications.
06
Disclose any conflicts of interest or disciplinary actions.
07
Fill out the compensation and fee schedule section, including how you charge your clients.
08
Include information about your firm's assets under management and regulatory details.
09
Attach any necessary additional documentation as requested.
10
Review the completed form for accuracy and completeness.
11
Sign and date the form.
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Who needs form adv - waddell?
01
Form ADV - Waddell is required for investment advisers who are registered with the Securities and Exchange Commission (SEC). It is necessary for firms to file this form in order to comply with the reporting requirements of the Investment Advisers Act of 1940. Therefore, investment advisers such as Waddell & Reed Financial, Inc. would need to fill out Form ADV - Waddell.
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What is form adv - waddell?
Form ADV-W is a form for withdrawal from registration under the Investment Advisers Act.
Who is required to file form adv - waddell?
Investment advisers who are no longer eligible for SEC registration or have ceased all investment advisory business activities.
How to fill out form adv - waddell?
Form ADV-W can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv - waddell?
The purpose of Form ADV-W is to officially withdraw an investment adviser’s registration with the SEC.
What information must be reported on form adv - waddell?
The form requires basic identifying information about the investment adviser and a brief explanation of why the registration is being withdrawn.
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