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ITEM 1 COVER Pageant 2A of Form ADV: Firm Brochure Financial Synergies Wealth Advisors, Inc. Houston Office 4400 Post Oak Pkwy Suite 200 Houston, TX 77027 Telephone: 7136236600 Tyler Office 100 Independence
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How to fill out current form adv part
How to fill out current form adv part
01
To fill out the current Form ADV Part, follow these steps:
02
Download the current Form ADV Part from the appropriate regulatory authority's website.
03
Read the instructions provided along with the form carefully.
04
Start by providing general information about your firm, including its name, address, and contact information.
05
Complete the sections related to your firm's ownership and control, including details about your partners, executive officers, and directors.
06
Specify the types of advisory services your firm offers and the approximate percentage of your assets under management for each type.
07
Disclose any conflicts of interest your firm may have, including affiliations with other financial institutions or potential conflicts in providing certain services.
08
Provide information about your firm's compensation structure and fee schedule.
09
Fill out the sections related to your firm's disciplinary history, including any legal or regulatory actions taken against your firm or its employees.
10
Answer the questions related to custody of client assets, if applicable.
11
Complete the last section, which includes signing and dating the form.
12
Make sure to review the completed form for accuracy and completeness before submitting it to the regulatory authority.
Who needs current form adv part?
01
Any financial advisory firm that is registered with the appropriate regulatory authority needs to fill out the current Form ADV Part.
02
This includes investment advisers, financial planners, and other professionals who provide investment advice to clients.
03
The form helps regulatory authorities to have a comprehensive understanding of the firm's operations, services, and potential conflicts of interest.
04
It is a regulatory requirement for firms to disclose this information accurately and regularly to maintain transparency and protect investors.
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What is current form adv part?
Current Form ADV Part is a form that registered investment advisors must file with the Securities and Exchange Commission (SEC) or state securities authorities.
Who is required to file current form adv part?
Registered investment advisors are required to file current Form ADV Part.
How to fill out current form adv part?
Current Form ADV Part can be filled out online through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of current form adv part?
The purpose of current Form ADV Part is to provide clients and potential clients with information about the advisory services offered, fees charged, and any disciplinary history of the advisor.
What information must be reported on current form adv part?
Current Form ADV Part must include information about the advisor's business practices, fees, conflicts of interest, and any disciplinary history.
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