TAX DECLARATION FOR BROKER-DEALER AGENTS AND INVESTMENT ADVISER REPRESENTATIVES: Fill out & sign online

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Click ‘Get Form’ to open the TAX DECLARATION in the editor.
Begin by entering the date at the top of the form. This is essential for record-keeping purposes.
Fill in your full name and Social Security number (SS#) in the designated fields. Ensure accuracy to avoid processing delays.
Provide your home address, including city, state, and zip code. This information is crucial for identification.
If applicable, enter the name of your affiliated investment adviser or broker-dealer.
Complete your Vermont office address and contact numbers. Make sure all details are correct for communication purposes.
Finally, review all entries for completeness and accuracy before signing the declaration at the bottom of the form.

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Who is considered an investment advisor representative?

Investment adviser representatives are registered financial professionals that provide advisory services to clients on behalf of an RIA. Investment adviser representatives services primarily include providing investment advice and managing client portfolios on an ongoing basis.

What is the disclosure document for an investment adviser representative?

Investment Adviser Public Disclosure (IAPD) reports disclose information about state registered investment adviser representatives (IARs) to help investors determine whether to conduct, or continue to conduct, business with these individuals.

What is a registered representative for a broker-dealer?

A registered representative, also called a general securities representative, a stockbroker, or an account executive, is an individual who is licensed to sell securities and has the legal power of an agent in the United States.