Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission

ADVERTISEMENT

FORM ADV
(Paper Version)
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
PART 1A
Complete this form truthfully. False statements or omissions may result in denial of your
WARNING:
application, revocation of your registration, or criminal prosecution. You must keep this form
updated by filing periodic amendments. See Form ADV General Instruction 3.
Check the box that indicates what you would like to do (check all that apply):
Submit an initial application to register as an investment adviser with the SEC.
Submit an initial application to register as an investment adviser with one or more states.
Submit an annual updating amendment to your registration for your fiscal year ended _________.
Submit an other-than-annual amendment to your registration.
Item 1
Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
___________________________________________________________
B. Name under which you primarily conduct your advisory business, if different from Item 1.A.
_____________________________________________________________________________
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.),
enter the new name and specify whether the name change is of
your legal name or
your primary
business name:
_____________________________________________________________________________
D. If you are registered with the SEC as an investment adviser, your SEC file number: 801-___________
E. If you have a number (“CRD Number”) assigned by the FINRA’s CRD system or by the IARD system,
your CRD number:
_____________________
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of
your officers, employees, or affiliates.
SEC 1707 (01-08)
File 2 of 4

ADVERTISEMENT

00 votes

Related Articles

Related forms

Related Categories

Parent category: Legal