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Form ADV Part 3 Form CRS Client Relationship Summary March 31, 2023MacKay Shields LLC 1345 Avenue of the Americas New York, NY 10105 https://www.newyorklifeinvestments.com/mackayshieldsIf you have

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How to fill out mackay form adv form

01

Obtain a copy of the Mackay Form ADV form from the SEC website or directly from the investment advisor.

02

Fill out the form with accurate information regarding the investment advisor's business practices, services offered, fee schedule, conflicts of interest, and disciplinary history.

03

Provide any additional required documents or disclosures along with the completed form.

04

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

Who needs mackay form adv form?

01

Investment advisors who are registered with the SEC or state securities regulators need to fill out the Mackay Form ADV form.

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What is mackay form adv form?

Mackay Form ADV Form is a document that investment advisers are required to file with the Securities and Exchange Commission (SEC) as part of their registration.

Who is required to file mackay form adv form?

Investment advisers who meet certain criteria, such as managing assets over a certain threshold, are required to file Mackay Form ADV Form with the SEC.

How to fill out mackay form adv form?

Mackay Form ADV Form can be filled out electronically using the SEC's Investment Adviser Registration Depository (IARD) system.

What is the purpose of mackay form adv form?

The purpose of Mackay Form ADV Form is to provide the SEC and investors with important information about an investment adviser, including their business practices, fees, conflicts of interest, and disciplinary history.

What information must be reported on mackay form adv form?

Information that must be reported on Mackay Form ADV Form includes the adviser's assets under management, types of clients, business activities, fees charged, and any disciplinary history.

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