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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: SICOR SECURITIES INCCRD Number: 16195OtherThanAnnual Amendment All SectionsRev.

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How to fill out form adv part 2a

01

To fill out Form ADV Part 2A, follow the steps below:

02

Obtain a copy of Form ADV Part 2A from the Securities and Exchange Commission (SEC) website.

03

Review the instructions for completing the form.

04

Fill out the general information section, including the name of the investment advisor, address, contact information, and the date the form is being filed.

05

Provide information about the investment advisory firm, such as its structure, ownership, and registration details.

06

Disclose any disciplinary history or legal proceedings involving the advisor or its employees.

07

Describe the advisory services offered by the firm, including the types of clients served, investment strategies, and fee arrangements.

08

Provide information about the firm's employees, including their qualifications, educational background, and any disciplinary history.

09

Discuss the firm's code of ethics and policies for handling conflicts of interest.

10

Disclose any additional information required by the SEC.

11

Review the completed form for accuracy and completeness.

12

Sign and date the form.

13

Submit the completed Form ADV Part 2A to the SEC.

Who needs form adv part 2a?

01

Form ADV Part 2A is required for investment advisors who are registered with the SEC or state securities authorities.

02

It must be filed by any firm that meets the definition of an investment advisor, as defined by the Investment Advisers Act of 1940.

03

Additionally, any firm that provides investment advice for compensation and holds itself out to the public as an investment advisor must also file Form ADV Part 2A.

04

However, please note that the specific requirements for filing Form ADV Part 2A may vary depending on the jurisdiction and the type of investment advisor.

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What is form adv part 2a?

Form ADV Part 2A is a document that investment advisers are required to provide to their clients, detailing the adviser's services, fees, investment strategies, and potential conflicts of interest.

Who is required to file form adv part 2a?

Any investment adviser registered with the Securities and Exchange Commission (SEC) or state regulators is required to file Form ADV Part 2A.

How to fill out form adv part 2a?

To fill out Form ADV Part 2A, advisers must provide detailed information about their business practices, investment strategies, fees, and any disciplinary history. This includes answering specific questions about the firm's investment approach and practices.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about the investment adviser, allowing them to make informed decisions before engaging the adviser’s services.

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

Form ADV Part 2A requires reporting information about the adviser's business, services offered, fees and compensation, disciplinary history, conflicts of interest, and the background of key personnel.

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