| Title | State |
Last Updated |
| Rescission Notice |
Alaska | May 6, 2019 |
| Uniform Registration Form Multi-Level Distribution Company |
Montana | April 18, 2019 |
| Adviser Affidavit |
District Of Columbia | February 28, 2019 |
| Clean Hands Form |
District Of Columbia | March 6, 2017 |
| Registration Statement To Register Securities By Qualification |
Nebraska | November 30, 2016 |
| Indefinite Mutual Fund Sales Report |
Nebraska | November 30, 2016 |
| Indefinite UIT Sales Report |
Nebraska | November 30, 2016 |
| Broker-Dealer Corporate Resolution Form |
Nebraska | November 30, 2016 |
| Affidavit Of Broker Dealer Activity In Nebraska |
Nebraska | November 30, 2016 |
| Bond Form - Bureau Of Securities |
Nebraska | November 30, 2016 |
| Designation Of Investment Adviser Representatives |
Nebraska | November 30, 2016 |
| Affidavit Of Investment Advisory Activity In Nebraska |
Nebraska | November 30, 2016 |
| Application To Register Securities Under Regulation 3 AAC 08.500-505 |
Alaska | July 8, 2016 |
| Waiver Request For Exempt Securities Transactions |
Alaska | July 7, 2016 |
| Viatical Settlement Disclosure Document Part A |
Alaska | July 7, 2016 |
| Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(19) |
Alaska | July 7, 2016 |
| Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(18) |
Alaska | July 7, 2016 |
| Follow-up Report for AS 45.55.900(b)(19) |
Alaska | July 7, 2016 |
| Transaction Certification |
District Of Columbia | March 30, 2016 |
| Statement Of Financial Condition |
District Of Columbia | March 30, 2016 |
| Representative(s) Affidavit |
District Of Columbia | March 30, 2016 |
| Complaint Form - Securities Bureau |
Nebraska | March 30, 2016 |
| Complaint Form-Financial Institutions Division |
Nebraska | October 6, 2015 |
| Uniform Termination Notice For Securities Industry Registration |
Nebraska | October 6, 2015 |
| Uniform Application For Securities Industry Registration Of Transfer |
Nebraska | October 6, 2015 |
| Uniform Application For Broker-Dealer Registration |
Nebraska | September 14, 2015 |
| Summary Of Nebraska Broker-Dealer Registration Requirements |
Nebraska | September 14, 2015 |
| Summary Of Nebraska Investment Adviser Registration Requirements |
Nebraska | September 5, 2015 |
| Registration Of Viatical Settlement Interest Transactions |
Alaska | August 20, 2015 |
| Report Of Securities Sales And Use Of Proceeds |
Alaska | August 3, 2015 |
| New England Regional Review Application Form |
Connecticut | May 29, 2015 |
| Investment Complaint Form |
Alaska | April 13, 2015 |
| Application For Exemption From Registration |
Montana | April 13, 2015 |
| Model Promotional Shares Escrow Agreemtent |
Alaska | April 13, 2015 |
| Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(7)(B) |
Alaska | August 21, 2014 |
| Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(5)(B) |
Alaska | August 21, 2014 |
| Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(5)(A) |
Alaska | August 21, 2014 |
| Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(4) And 3 AAC 08.910(5) |
Alaska | August 21, 2014 |
| Notice Of Exempt Securities Transactions Given At The Option Of The Issuer Agent |
Alaska | August 21, 2014 |
| Complaint Form |
Alabama | April 4, 2014 |
| Connecticut Supplement For State-Regulated Investment |
Connecticut | March 20, 2014 |
| Surety Bond |
Arkansas | January 28, 2014 |
| Explanatory Statement And Statement Of Non-Prejudice |
Connecticut | August 20, 2013 |
| Uniform Request For Withdrawl From Broker Dealer Registration |
Nebraska | December 13, 2012 |
| Uniform Request For Withdrawl From Broker Dealer Registration |
Nebraska | December 13, 2012 |
| Corporate Resolution Of |
Nebraska | December 13, 2012 |
| Affidavit Of Broker-Dealer Activity In Nebraska |
Nebraska | December 13, 2012 |
| Principals, Partners, Officers, Trustees, Directors And Managers |
Arkansas | November 2, 2012 |
| Parents, Subsidiaries And Affiliates |
Arkansas | November 2, 2012 |
| Mortgage Banker, Mortgage Broker, Mortgage Servicer Application For License |
Arkansas | November 2, 2012 |
