| NOT FDIC INSURED |
NO BANK GUARANTEE |
MAY LOSE VALUE |
This site is for informational purposes only and is not intended to be a solicitation or offering of any security and;
- Representatives of a broker-dealer ("BD") or 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, the state; or
(b) are excluded or exempted from the state's licensure requirements.
- Representatives of a BD or IA are deemed to conduct business in a state to the extent that they provide individualized 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: AZ, CA, FL, GA, IA, IL, IN, KS, MI, MN, MO, NC, NE, NY, OH,
OR, PA, SC, SD, TN, TX, UT, VA, WA and WY.
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