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Client Forms

INSTRUCTIONS FOR COMPLETING AND SUBMITTING FORMS:

In order to access any of the Client Forms, select the download button or the form's name.

  1. Save the form in a location where you can find it (e.g. your Desktop).
  2. Locate the file on your computer:
  1. Make sure to place your signature as indicated on the form.
  2. Return the completed and signed document(s) to Financial Investments Associates, LLC using one of the following methods:

Download Form ADV 2AForm ADV 2A
To access this document, select the download button to the left.

Download Form ADV 2B SupplementForm ADV 2B (Supplement)
To access this document, select the download button to the left.


Download Client Profile Data Form

Code of Ethics and Standards of Professional Conduct

At Financial Investments Associates, LLC (the "Firm") we believe that any firm entrusted with financial decisions must maintain the highest ethical standards. Therefore, we have adopted a Code of Ethics and Standards of Professional Conduct. To access this document, select the download button to the left.

Download Client Profile Data Form The difference between a registered representative and a financial adviser

Select the download button to review a brief explanation that outlines the fundamental difference between the services of a registered representative and those of a financial advisor.

Download Non-Discretionary Investment Advisory Agreement Non-Discretionary Investment Advisory Agreement

Select the download button to the left, complete the applicable fields, print, and mail or email back to Financial Investments Associates, LLC.

Form ADV—Uniform Application for Investment Adviser Registration Client Profile Data Form

Select the download button to the left, complete the applicable fields, print, and mail or email back to Financial Investments Associates, LLC.

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