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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: ROTHROCK FINANCIAL GROUPCRD Number: 165112OtherThanAnnual AmendmentAll
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How to fill out crd number 165112
How to fill out crd number 165112
01
Begin by gathering all necessary personal and financial information required for the CRD application.
02
Access the official website or portal where the CRD number application is available.
03
Locate the specific section for CRD number 165112.
04
Carefully read through the instructions provided to ensure understanding of the requirements.
05
Fill out the application form with accurate details, including your name, address, and other required fields.
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Double-check all information for accuracy before submitting the application.
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Submit the application and keep a record of any confirmation or reference number received.
Who needs crd number 165112?
01
Individuals or businesses seeking regulatory approval for financial activities may need CRD number 165112.
02
Professionals in the financial services industry who are required to register with regulatory bodies may require this number.
03
Organizations involved in investment activities may need it for compliance purposes.
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What is crd number 165112?
CRD number 165112 is a unique identifier assigned to a specific financial industry professional or entity registered with the Financial Industry Regulatory Authority (FINRA) in the United States.
Who is required to file crd number 165112?
Individuals or firms that are involved in the securities industry and have been assigned the CRD number 165112 are required to file associated information and updates as necessary.
How to fill out crd number 165112?
To fill out information related to CRD number 165112, individuals must complete the Form U4 (Uniform Application for Securities Industry Registration or Transfer), providing personal, employment, and disclosure information as required.
What is the purpose of crd number 165112?
The CRD number 165112 serves as a tracking mechanism for regulatory purposes, helping to maintain a record of an individual’s or firm’s registration and regulatory history in the securities industry.
What information must be reported on crd number 165112?
Information that must be reported includes personal identification details, employment history, disciplinary actions, and disclosures regarding criminal or civil charges.
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