2B Questionnaire

GVA’s online 2B questionnaire helps us securely gather the appropriate information we will need to create your ADV 2B. The data is transmitted through a secure connection on our website, using the strongest encryption available. You may view the authenticity of the connection by selecting the green lock icon at the top next to the address bar.

If you have any questions regarding this form, please contact Drew Nemeth, dnemeth@greatvalleyadvisors.com.

Advisor Information

Questionnaire:
Financial Advisor:
Date of Birth:   (00/11/2222)
Primary SSN:  (111-22-3333)
LPL Email (If applicable):  (jane.doe@lpl.com)
CRD #:  (Brokercheck link)

Branch Office Information

DBA Name:
DBA Phone:
DBA Fax:
DBA Address:
DBA Email:
DBA Website:

Educational Background

Primary Education
Institution:
Degree Attained:
Graduation Year:
Secondary Education
Institution:
Degree Attained:
Graduation Year:

Business Experience (Past 5 Years)

Company 1
Employer Name:
Title:
Dates Worked (MM/YYYY – MM/YYYY):
Company 2
Employer Name:
Title:
Dates Worked (MM/YYYY – MM/YYYY):
Company 3
Employer Name:
Title:
Dates Worked (MM/YYYY – MM/YYYY):

Licensing

Series 6: Series 63: Series 65:
Series 7: Series 24: Series 66:
Other Licenses:

Designations

– Certified Financial Planner (CFP)
– Certified Financial Analyst (CFA)
– Certified Public Account (CPA)
– Accredited Investment Fiduciary (AIF)
– Retirement Income Certified Professional (RICP)
– Chartered Financial Consultant (ChFC)
– Chartered Life Underwriter (CLU)

Insurance

– Life
– Accident
– Health
– Variable Annuities
Total time spent on insurance (%):

Disciplinary History

Disciplinary History:
If yes, please explain:

Additional Compensation

Additional Compensation:
If yes, please explain