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[DOCX File]NYAPP 01 -- ACCOUNTANTS APPLICATION
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3.List all investment advisers who are employed (W-2) and Independent Contractors (1099) that work solely on behalf of the Named Applicant. Accounting firms should list only those that provide financial planning/investment advisory services. Independent Contractors (1099) that provide services independent of the named applicant are not
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[DOC File]WEALTH MANAGEMENT ADVISORY & CONSULTING …
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The Client acknowledges that Adviser cannot adequately perform its services for the Client unless the Client diligently performs his responsibilities under this Agreement. ... TD Ameritrade, or Pershing, LLC. Unless specifically requested and agreed to otherwise, Qualified Custodian shall generally hold Assets in an individual client account ...
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[DOC File]chapters.onefpa.org
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Serve as an advisor on the FPA board (invited to attend all in-person board meetings) X Ten minute presentation at one board meeting X company featured in one quarterly newsletter per year X Opportunity to host your own event for FPA members at your company location or other venue X ...
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[DOC File]Business Continuity Plan Template for - EGI Financial, Inc.
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Each custodian has annual notices of the firm’s BCP and contact information for the client. TD Ameritrade handles our accounts though their institutional arm, at the following addresses: TD AMERITRADE Institutional 4075 Sorrento Valley Blvd., Suite A San Diego, CA 92121. 1-800-431-3500. TD Ameritrade has their BCP posted on their website at:
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[DOC File]NYAPP 01 -- ACCOUNTANTS APPLICATION
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(c) Excluding advisory fees and authorized disbursement to an account with the same registration or the client, do . you. have power to withdraw/disburse funds in the account? Yes No (d) Custodians: Fidelity TD Ameritrade Schwab Pershing FISERV Assetmark NATC. SSG Other: 22. Types of Accounts: TYPES OF ACCOUNTS %
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[DOCX File]July 2002 - Gottesman-Company
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offers a unique “as-a-service” suite of services such as DaaS PaaS/IaaS to a coveted Registered Investment Advisor (RIA) industry. The Company projects 2020 revenue of $4.6M, with 85 percent recurring revenue and no client representing more than six percent of total revenue.
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[DOC File]ADV Form Part 2 - Garnet Group
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TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Factors which the Registrant considers in recommending Fidelity, TD Ameritrade, Inc. or any other broker-dealer, to clients include their respective financial strength, reputation, execution, pricing, research, and service.
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[DOCX File]AMERICAN WEALTH MANAGEMENT
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AWM the Advisory can execute trades for the client’s account through AWM the B/D if commissions and executions are competitive with those available with other firms.TD Ameritrade Institutional (TDA) acts as custodian for AWM fee base accounts. With the various custodians available through AWM, the client gets several very competitive options.
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[DOC File]Letter for branch associates to use when a client gives ...
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(You do not need to return this form to TD Ameritrade Institutional.) If you have any questions, please contact your Advisor, or call TD Ameritrade Institutional at 800-431-3500. If you are an employee, this is a courtesy notification showing you the form you should be receiving from your employer.
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investor.lpl.com
Table of Contents. UNITED STATES. SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. 20549. SCHEDULE 14A. Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Ac
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