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Name: Fillable Online Change of Advisor/broker-dealer Form 2023 - Update Your Financial Advisor Fax Email Print - pdfFiller
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Use this form to change your financial advisor or broker-dealer. Update your investment records effectively with our easy-to-complete form.

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What is change of advisor/broker-dealer?

A change of advisor/broker-dealer refers to the process where a registered investment advisor or broker-dealer changes their affiliation from one firm to another, requiring notifications and filings with regulatory authorities.

Who is required to file change of advisor/broker-dealer?

Registered investment advisors and broker-dealers who are transitioning to a new firm must file a change of advisor/broker-dealer with the relevant regulatory bodies.

How to fill out change of advisor/broker-dealer?

To fill out the change of advisor/broker-dealer form, individuals must provide their personal and professional information, details about their current and new advisor/broker-dealer firms, and any other required disclosures as specified by regulatory authorities.

What is the purpose of change of advisor/broker-dealer?

The purpose of the change of advisor/broker-dealer is to ensure transparency and maintain regulatory compliance when an advisor or broker transitions to a new affiliate, allowing clients and regulators to be informed of such changes.

What information must be reported on change of advisor/broker-dealer?

The report must include the advisor's or broker-dealer's name, registration details, the name and contact information of the new firm, effective date of the change, and any pertinent disclosures or explanation for the transition.

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