This site is 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 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:
WI, MN, AZ,
CO, FL, IL, MI, NV, OH, SD, TX, WA
|
