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[PDF File]Website - Investment Adviser instructions
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SEC Registered State Notice Filers Only the forms and fees required to be filed through the IARD are required. C. Investment Adviser Representative Registration Prior to registering investment adviser representatives in New Jersey, the investment adviser firm must be registered …
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[PDF File]PRIMERICA ADVISORS
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A. About Primerica Advisors Primerica Advisors is the trade name under which PFS Investments Inc. (“PFSI”) conducts its investment advisory business. PFSI, an SEC registered investment adviser and broker-dealer, is an indirect wholly-owned subsidiary of Primerica, Inc. (“Primerica”), a financial
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[PDF File]UNIFORM TERMINATION NOTICE FOR SECURITIES INDUSTRY ...
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UNIFORM TERMINATION NOTICE FOR SECURITIES INDUSTRY REGISTRATION INDIVIDUAL NAME: INDIVIDUAL CRD #: FIRM NAME: FIRM CRD #: Page 1 of 24 . NOTICE TO THE INDIVIDUAL WHO IS THE SUBJECT OF THIS FILING. Even if you are no longer registered you continue to be subject to the jurisdiction of regulators for at least two years after your
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[PDF File]FORM ADV-W (Paper Version)
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If you are filing for partial withdrawal and switching from state to SEC registration, you must complete the entire Form ADV-W. If you are registered only with the . state securities authorities. and withdrawing from some, but not all, of the states where you are registered, you must comp lete the entire Form ADV …
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[PDF File]Investment Adviser Registration in California After Dodd
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Investment Adviser Registration in California After Dodd-Frank By: Ellen Kaye Fleishhacker and Jennifer Kurzman Ellen Kaye Fleishhacker is a partner with Arnold & Porter LLP in San Francisco. She is in the Corporate & Securities practice group, and her practice focuses on a broad range of investment management related matters, such as ...
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[PDF File]MORGAN STANLEY - FINRA
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MORGAN STANLEY SMITH BARNEY LLC SEC# 149777 8-68191 Main Office Location Mailing Address Business Telephone Number Doing business as MORGAN STANLEY 914-225-1000 Regulated by FINRA New York Office 2000 WESTCHESTER AVENUE PURCHASE, NY 10577-2530 100 SOUTH CHARLES STREET 4TH FLOOR BALTIMORE, MD 21201 Other Names of this Firm Name Where is it used
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[PDF File]Finders and Unregistered Broker-Dealers
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Finders and Unregistered Broker-Dealers By Eric R. Smith and Parker B. Morrill In the last few years, we have seen a number of important developments in the securities laws related to finders and broker-dealer registration requirements. Below we provide an overview of the broker-dealer registration requirement as it relates to finders who
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[PDF File]Getting the full picture - Eversheds Sutherland
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term adviser or advisor as part of a name or title, unless they were registered as, or supervised persons of, an investment adviser.9 The SEC decided not to adopt that rule, but instead addressed this matter by expressing the view in the Reg. BI
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[PDF File]Investment Adviser Guide
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This guide is intended to assist newly-registered investment advisers in understanding their compliance obligations. It does not provide a complete description of all requirements under the Florida Statutes or Florida Administrative Code. As an investment adviser, you are a …
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[PDF File]Form ADV Part II
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that are SEC -registered investment c ompanies or busni ess deveol pment companeis (the . client. mus bt e regsitered under the Investment Company Act of 1940 or be a busni ess deveol pment company as defni ed in that Act, and the advisory contract must meet the requirements of section 15(c) of that Act). See SEC rule 204-3(c).
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Sec registered advisor lookup