Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser Page 8

Download a blank fillable Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser in PDF format just by clicking the "DOWNLOAD PDF" button.

Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.

Complete Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.

Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.

ADVERTISEMENT

FORM ADV-W
Your Name: ______________________________
SEC File No.: ___________________
Schedule W1
Date: ___________________________________
CRD No.: ______________________
(Paper Version)
Certain items in Form ADV-W may require additional information on this Schedule W1. Use this Schedule W1 to report details for items listed
below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
SECTION 5 Other Investment Advisory Contract Assignments
Check here if you are completing this section:
Complete the following information for each person to whom you have assigned any advisory contract. You must complete a separate Schedule
W1 for each person to whom you have assigned an advisory contract.
Name and business address of the person to whom advisory contracts were assigned:
______________________________________________________________________________________________________
(name)
______________________________________________________________________________________________________
(number and street)
______________________________________________________________________________________________________
(city)
(state)
(country)
(zip+4/postal code)
______________________________________
(area code)
(telephone number)
If this address is a private residence, check this box:
SECTION 8
Persons With Custody or Possession of the Books and Records Kept at the Location Described Below.
Complete the following information for the person that has or will have custody or possession of the books and records kept at the location
described in this Section 8 of this Schedule. You must complete a separate Schedule W1 for each person that has or will have custody of any of
your books and records. If the person you list below has or will have custody of any of your books and records at any other location, you must
complete separate Schedule(s) W1 listing this person and each other location of your books and records.
______________________________________________________________________________________________________
(name)
______________________________________________________________________________________________________
(number and street)
______________________________________________________________________________________________________
(city)
(state)
(country)
(zip+4/postal code)
______________________________________
(area code)
(telephone number)
If this address is a private residence, check this box:
Location of the Books and Records of Which the Person Listed in this Schedule W1 Has Custody or Possession.
Complete the following information for the location where the books and records of which the person listed in this Section 8 of this Schedule
has or will have custody or possession. You must complete a separate Schedule W1 for each location at which your records are or will be kept.
If any other person has or will have custody or possession of any of the books and records at the location described below, you must complete
separate Schedule(s) W1 listing this location and each other person that has or will have custody of your books and records.
____________________________________________________________________________________________
(name)
____________________________________________________________________________________________
(number and street)
____________________________________________________________________________________________
(city)
(state)
(country)
(zip+4/postal code)
___________________________________
(area code)
(telephone number)
If this address is a private residence, check this box:
Briefly describe the books and records kept at this location. ______________________________________________________________

ADVERTISEMENT

00 votes

Related Articles

Related forms

Related Categories

Parent category: Legal
Go
Page of 9