Investment Adviser Examination Affidavit Form. This is a Delaware form and can be use in Blue Sky Department Of State.
Tags: Investment Adviser Examination Affidavit, Delaware Department Of State, Blue Sky
COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : Index No. Investment Adviser Examination Affidavit : Calendar No. : JUDICIAL SUBPOENA 1. Name: 2. Address: Plaintiff(s) -against- : : : 3. Have you obtained a passing score on the Uniform Investment Adviser Law Examination (Series Defendant(s) : 65 examination)? . . . . . Yes . . . . . No . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .... ... 4. Have you obtained a passing score on the General Securities Representative Examination (Series 7 examination) and the Uniform Combined State Law Examination (Series 66 examination)? THE PEOPLE OF THE STATE OF NEW YORK No Yes 5. Were you registered as an investment adviser in any jurisdiction in the United States on July 1, TO 2000 and for two (2) consecutive years prior to that date? Yes No 6. Have you ever been found to have violated any state or federal securities law? GREETINGS: Yes No WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before If the answer to this question is "yes", provide a detailed description of the findings on a separate the Honorable at the Court sheet. located at County of in hold , on of day of , 20 , at o'clock in the noon, and at any 7. If you room one or morethe the following professional designations, check each that applies: recessed or adjourned date, to testify and give (CFP) awarded by in this action on the part of the Standards and evidence as a witness the International Board of Certified Financial Planner Practices for Certified Financial Planners, Inc. Chartered Financial Consultant (ChFC) awarded by the American College, Bryn Mawr, Your failure Pennsylvania. to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and of Certifiedsustained as a Personal Financial Specialist (PFS) awarded by the American Institute all damages result of your failure to comply. Public Accountants Chartered Financial Analyst (CFA) awarded by the Institute ofone of the Justices of the Witness, Honorable , Chartered Financial Analysts. Court in County, day of , 20 Chartered Investment Counselor (CIC) awarded by the Investment Counsel Association of America, Inc. (Attorney must sign above and type name below) I, ______________________________, hereby depose and say that the information provided herein is true and accurate. Attorney(s) for ______________________________ Signature Office and P.O. Address SWORN TO AND SUBSCRIBED before me this _____ day of _________________, 20___ Telephone No.: Facsimile No.: ______________________________ E-Mail Address: Mobile Tel. No.: Notary My commission expires on: ____________________ American LegalNet, Inc. www.USCourtForms.com ,