A
broker-dealer "BD", investment advisor "IA",
BD agent or IA Representative
may only transact business in a state if first registered in the state
or is excluded or
exempt from registration in that state as a broker-dealer, investment
advisor, BD
agent or IA Representative as appropriate. Follow-up individualized
responses to
persons in a state by such a firm or individual that involves either
affecting or
attempting to affect transactions in securities or the rendering of
personalized investment advice for compensation will not be made
without first complying with
appropriate registration requirements or an applicable exemption or
exclusion.
For information concerning the licensing status or disciplinary history of a broker- dealer, investment advisor, BD agent or IA rep, a consumer should contact his or her state securities law administrator.
We invite you to take a few minutes to review our web site and our capabilities. Selecting someone to help you plan and manage your financial future is not something that should be taken lightly. If you have any questions, feel free to send us an email or call us directly at 1-800-273-1106.