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ACCOUNT PACKETS/SUM II ACCOUNT AGREEMENT In consideration of LPL Financial LLC (LPL) agreeing to open a SUM/SUM II investment account (Account) for you, you hereby understand, acknowledge and agree:

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How to fill out form adv part 2a

01

Gather all necessary information and documents required for filling out form adv part 2a.

02

Start by filling out the general information section which includes details about the firm, its employees, and any disciplinary history.

03

Proceed to the sections related to the firm's business practices, fees charged, and investment strategies employed.

04

Provide detailed information about the firm's assets under management, client types, and any conflicts of interest.

05

Review the completed form adv part 2a for accuracy and completeness before submitting it to the relevant regulatory authority.

Who needs form adv part 2a?

01

Registered investment advisers (RIAs) in the United States need to fill out form adv part 2a.

02

Form adv part 2a is required by the Securities and Exchange Commission (SEC) as part of the registration process for RIAs.

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What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides important information about investment advisers, including services offered, fees charged, disciplinary information, and conflicts of interest.

Who is required to file form adv part 2a?

Registered investment advisers are required to file Form ADV Part 2A with the Securities and Exchange Commission (SEC) or state securities regulators.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out electronically using the Investment Adviser Registration Depository (IARD) system. Advisers must provide accurate and up-to-date information about their firm.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients and potential clients with important information about an investment adviser's business practices, conflicts of interest, and disciplinary history.

What information must be reported on form adv part 2a?

Form ADV Part 2A must include information about the adviser's business practices, fees, services, disciplinary history, conflicts of interest, and other important details.

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