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Name: Fillable Online Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers Fax Email Print - pdfFiller
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This document is the Form ADV, which serves as a uniform application for investment adviser registration and provides details on the operations, ownership, compliance information, and regulatory history of Franklin Templeton Investments Corp. It is intended for both SEC and state-level regulatory compliance in relation to investment advisory services.

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How to fill out form adv

01

Obtain the Form ADV from the SEC's website or your state securities regulator.

02

Fill in Part 1 with basic information about your firm, including name, address, and ownership details.

03

Complete Part 2, which includes a brochure that outlines the services offered, fees, and potential conflicts of interest.

04

Disclose any disciplinary history, including criminal actions and regulatory violations in Part 1 and Part 2.

05

Sign and date the form, certifying the information provided is true and correct.

06

Submit the completed Form ADV electronically through the Investment Adviser Registration Depository (IARD) system.

Who needs form adv?

01

Investment advisers who manage client funds or provide investment advice.

02

Registered investment companies and their service providers.

03

Broker-dealer firms that offer advisory services beyond standard brokerage activities.

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What is form adv?

Form ADV is a registration form used by investment advisors to register with the SEC or state regulators. It provides important information about an advisor's business, services, and fees.

Who is required to file form adv?

Investment advisors who manage assets or provide advisory services to clients are required to file Form ADV.

How to fill out form adv?

Form ADV is filled out electronically through the Investment Adviser Registration Depository (IARD) system. Advisors must provide detailed information including business practices, fees, and educational background.

What is the purpose of form adv?

The purpose of Form ADV is to provide transparency in the investment advisory industry by disclosing relevant information to clients and regulators.

What information must be reported on form adv?

Form ADV requires reporting information such as the advisor's name, business address, owners, the types of services offered, fee structure, and any disciplinary history.

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