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The Broker-dealer, investment adviser, BD agent or IA rep in question may only transact business in a state if first registered, excluded or
exempted from state broker-dealer, investment adviser, BD agent or IA rep registration requirements, as may be; and follow-up, individualized
responses to persons in a state by such broker-dealer, investment adviser, BD agent or IA rep registration requirements, or an applicable
exemption or exclusion. Investment products and services currently available to residents of CA, DC, FL, IL, IN, KY, MD, MI, NE, NH, NJ, OH, PA, SC, TN, VA, WV. Fee-based investment advisory services currently available to residents of PA. A broker / dealer, investment adviser, 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, or 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 stated securities law administrator. |
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