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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: TASSEL CAPITAL MANAGEMENT, INC CRD Number: 121112OtherThanAnnual Amendment

How to fill out form adv uniform application

How to fill out form adv uniform application

1. Obtain the Form ADV Uniform Application document from the appropriate regulatory body.
2. Fill in the applicant's personal information, including name, address, social security number, and contact information.
3. Provide details about the applicant's educational background and work experience in the financial industry.
4. Disclose any disciplinary history or conflicts of interest that may affect the applicant's suitability for registration.
5. Sign and date the application form, ensuring all information provided is accurate and complete.

Who needs form adv uniform application?

1. Financial professionals such as investment advisors and financial planners who are required to register with regulatory bodies in order to provide investment advice to clients.

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What is form adv uniform application?

Form ADV is a form used by investment advisers to register with the Securities and Exchange Commission (SEC) or state securities authorities.

Who is required to file form adv uniform application?

Investment advisers who manage assets exceeding $25 million or who provide advice to investment companies are required to file Form ADV.

How to fill out form adv uniform application?

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

What is the purpose of form adv uniform application?

The purpose of Form ADV is to provide information about the adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events.

What information must be reported on form adv uniform application?

Information that must be reported on Form ADV includes the adviser's business activities, fees, conflicts of interest, disciplinary history, and other relevant details.