Due to various state regulations
and registration requirements concerning the dissemination of information
regarding investment products and services, we are currently required to limit
access of the following individuals residing in states where we are currently
registered.
A broker/dealer, investment
advisor, BD agent or IA rep may only transact business in a particular state
after licensure or satisfying qualifications requirements of that state, or only
if they are excluded or exempted from the state's broker/dealer, investment
adviser, BD agent or IA rep requirements, as the case may be; and
follow-up, individualized responses to consumers in a particular state by
broker/dealer, investment adviser, BD agent or IA rep that involve either the
effecting or attempting to effect transactions in securities or the rendering of
personalized investment advice for compensation, as the case may be, shall not
be made without first complying with the state's broker/dealer, investment
adviser, BD agent or IA rep requirements, or pursuant to an applicable state
exemption or exclusion.
Investment products and services
available only to residents of:
Arkansas, Arizona, California,
Indiana, Kansas, Kentucky, Maryland, Michigan, Minnesota, Missouri, Nebraska,
New York, Ohio, Oklahoma, Pennsylvania, Texas, Utah, Virginia, Wisconsin,
Wyoming. |
I acknowledge that I am a
resident of one of the states listed above.
I am not a resident of one of
the states listed above.