Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

Duration: 60 Minutes
This training program will analyze ADV Part 1, ADV Part 2 A, ADV Part 2 B, and offer a breakdown of each section of the ADV. It will discuss annual filing requirements and offer best practices for reporting accurately.
Investor Advisor Registration
Instructor: Lisa M. Marsden
Product ID: 501784
Objectives of the Presentation
  • ADV Part 1
  • ADV Part 2 A
  • ADV Part 2 B
  • Annual Filing Requirements
  • Other than Annual Filings
  • Reporting Accurately
Why Should you Attend
Sections 203 and 204 of the Advisers Act authorize the United States Securities and Exchange Commission (SEC) to collect the information required by Form ADV. The SEC collects the information for regulatory purposes. Complying and maintaining accurate information needed for the form ADV Part 1 as well as Part 2 A and B is often a tedious task. This webinar will focus on how the data must be correct and consistent with other required documentation as well as the actual business practices of the advisor.

Areas Covered
  • Collection of the required data
  • Maintaining accurate information
  • Distinguishing what information applies to which form ADV
  • When to submit
  • Avoid key areas of non?compliance
  • A breakdown of each section of the ADV
Who will Benefit
  • Registered Investment Advisors
  • Finance
  • Investment Management
  • Compliance Consultants
  • Audit and Compliance Personnel/Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers/Research Analyst
  • Client Service Managers
$300
Recorded Session for one participant
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  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale's annual conference, conducted training sessions on the financial regulations regarding cyber security.
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