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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: KMS FINANCIAL SERVICES, INC CRD Number: 3866OtherThanAnnual Amendment
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01
To fill out 17 cfr 275204-2, follow the given steps:
02
Start by entering the required personal information, such as your name, address, and contact details.
03
Provide details about your employment history and current employment status.
04
Indicate any affiliations or relationships with other financial institutions or companies.
05
Disclose any previous criminal or disciplinary actions taken against you.
06
Answer all the questions regarding your investment experience and qualifications.
07
Provide information about your assets and financial holdings.
08
Sign and date the form to confirm the accuracy of the provided information.
09
Keep a copy of the filled-out form for your records.
Who needs 17 cfr 275204-2?
01
17 cfr 275204-2 is needed by investment advisers who are required to register with the Securities and Exchange Commission (SEC). It is a form that helps the SEC collect information about the investment adviser, its employees, and its operations. This form ensures compliance with regulatory requirements and helps protect investors.
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What is 17 cfr 275204-2?
This regulation refers to the Form ADV that investment advisers must file with the Securities and Exchange Commission (SEC).
Who is required to file 17 cfr 275204-2?
Registered investment advisers as required by the SEC.
How to fill out 17 cfr 275204-2?
The Form ADV must be completed online through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of 17 cfr 275204-2?
The purpose is to provide the SEC and investors with key information about the investment adviser, including its business practices, fees, and conflicts of interest.
What information must be reported on 17 cfr 275204-2?
Information about the investment adviser's business, fees, services, and conflicts of interest, among other things.
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