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IMPORTANT CONSUMER INFORMATION:
- A broker-dealer, investment advisor, BD agent of 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.
- For information concerning the licensure status or disciplinary
history of a broker-dealer, investment adviser, BD agent or IA rep, a consumer should
contact his or her state securities law administrator.
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