Important Consumer Information

The following pages are for informational purposes only and is not intended to be a solicitation or offering of any security and:

 

  • Representatives of a Registered Broker-Dealer (“BD”) or Registered Investment Advisor (“IA”) may only conduct business in a state if the representatives and the BD or IA they represent (a) satisfy the qualification requirements of, and are approved to do business by, that state; or (b) are excluded or exempted from that state’s registration requirements.
  • Representatives of a BD or IA are deemed to conduct business in a state to the extent that they would provide individual responses to investor inquiries that involve (a) effecting, or attempting to effect, transactions in securities; or (b) rendering personalized investment advice for compensation.
  • We are registered to offer securities in the following states: CA, MN, OH, WI

 

 

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