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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: ROOK FINANCIAL LLCCRD Number: 335543OtherThanAnnual AmendmentAll SectionsRev.
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Who needs crd number 335543?
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Individuals or organizations applying for licensing in certain regulated professions.
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Financial institutions or advisors who need to verify background information.
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What is crd number 335543?
CRD number 335543 is a unique identifier assigned to a financial professional or firm registered with the Financial Industry Regulatory Authority (FINRA) in the United States.
Who is required to file crd number 335543?
Individuals or firms engaged in the securities industry, such as brokers or investment advisors, are required to file a CRD number for registration and compliance purposes.
How to fill out crd number 335543?
To fill out CRD number 335543, one must complete the associated Form U4 or Form BD, providing personal, professional, and business information as required by FINRA and regulatory authorities.
What is the purpose of crd number 335543?
The purpose of CRD number 335543 is to facilitate the tracking and regulation of securities professionals to ensure compliance with industry standards and to protect investors.
What information must be reported on crd number 335543?
Information that must be reported includes personal identification details, employment history, disciplinary actions, financial disclosures, and any legal proceedings related to the individual or firm.
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