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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: LES KO SECURITIES, INC.CRD Number: 10091Annual Amendment All Sections

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How to fill out form adv - caprin

01

To fill out Form ADV - Caprin, follow the steps below:

02

Start by entering the name of the investment adviser firm.

03

Provide details about the location of the firm, including the address and contact information.

04

Indicate the type of investment adviser firm, such as a sole proprietorship or a partnership.

05

Specify the date of formation and the state or country of organization.

06

Enter information about the chief compliance officer of the firm.

07

Provide details about any other business activities the firm is engaged in.

08

Answer the questions regarding disciplinary history, including any criminal or civil actions.

09

Fill out the sections related to conflicts of interest and compensation arrangements.

10

Submit any required attachments or supporting documentation.

11

Review the completed form for accuracy and completeness before submitting it.

12

Finally, sign and date the form.

13

For more detailed instructions, refer to the official SEC guidelines for Form ADV - Caprin.

Who needs form adv - caprin?

01

Form ADV - Caprin is required for investment adviser firms that are registered with the U.S. Securities and Exchange Commission (SEC) or state securities authorities.

02

It is necessary for firms to disclose information about their business practices, fees, conflicts of interest, and disciplinary history.

03

The form helps investors make informed decisions and ensures regulatory compliance in the investment advisory industry.

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What is form adv - caprin?

Form ADV-CAPRIN stands for Form for Investment Advisers to Report Filing Information. It is a form used by investment advisers to report filing information to the Securities and Exchange Commission (SEC).

Who is required to file form adv - caprin?

Investment advisers registered with the SEC are required to file Form ADV-CAPRIN.

How to fill out form adv - caprin?

Form ADV-CAPRIN can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv - caprin?

The purpose of Form ADV-CAPRIN is to provide the SEC with updated information about the investment adviser's business and filing status.

What information must be reported on form adv - caprin?

Form ADV-CAPRIN requires investment advisers to report information such as contact details, business activities, and filing status.

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