| Title | State |
Last Updated |
| Investment Adviser (IA) Firm Application Procedures And Information |
Idaho | December 8, 2008 |
| Complaint Securities |
Virginia | November 11, 2008 |
| Notice Of Exemption |
Nebraska | November 7, 2008 |
| Application For Coordinated State Review (CER-1) |
Washington | October 23, 2008 |
| Iowa Broker-Dealer Registration Affidavit |
Iowa | October 23, 2008 |
| Notice Of Appearance |
New York | October 22, 2008 |
| Mortgage Banker, Mortgage Broker, Mortgage Servicer Application For License |
Arkansas | October 13, 2008 |
| State Licensing Information |
Arkansas | October 13, 2008 |
| Arkansas Resident Principal Designation Letter |
Arkansas | October 13, 2008 |
| Broker Dealer Principal Designation Letter |
Arkansas | October 13, 2008 |
| Ultimate Equitable Owner Information |
Indiana | September 24, 2008 |
| Claim Of Exemption |
Indiana | September 24, 2008 |
| Branch Office Notification |
Indiana | September 24, 2008 |
| Calculation Of Loan Broker Application Fee |
Indiana | September 24, 2008 |
| Franchisors Costs And Sources Of Funds (Form B) |
New York | September 19, 2008 |
| Consent And Guaranty |
Michigan | September 4, 2008 |
| Form Of Recission Offer |
New Jersey | August 18, 2008 |
| Modified Name Resolution |
Nevada | August 5, 2008 |
| Franchisors Costs And Sources Of Funds |
Virginia | July 16, 2008 |
| Investment Adviser Representative Multiple Employment Agreement |
Virginia | July 16, 2008 |
| Facing Page-Uniform Franchise Registration Application |
Virginia | July 16, 2008 |
| Uniform Franchise Consent To Service Of Process |
Virginia | July 16, 2008 |
| Affidavit Of Compliance-Franchise Amendment Renewal |
Virginia | July 16, 2008 |
| Application For Registration As A Principal Manager Or An Originator |
Indiana | July 15, 2008 |
| Application For License As A Loan Broker |
Indiana | July 15, 2008 |
| Connecticut Supplement State-Registered Investment Advisers |
Connecticut | June 4, 2008 |
| Investment Adviser Certification Form (2007 Fiscal Year) |
Washington | April 17, 2008 |
| Investment Adviser Certification Form (2007 Fiscal Year NON-WASH) |
Washington | April 17, 2008 |
| Application For Registration Of Securities |
Texas | April 3, 2008 |
| Broker Dealer Financial Statement Cover Page |
Florida | April 2, 2008 |
| Non NASD Broker Dealer Renewal |
Michigan | February 26, 2008 |
| Application For Renewal Registration Of Sales Representative |
Missouri | January 23, 2008 |
| Application For Renewal Registration Of Agent |
Missouri | January 23, 2008 |
| Cover Letter For Investment Adviser |
Arizona | December 20, 2007 |
| Application For Coordinated State Review |
Arizona | November 27, 2007 |
| Application For Qualified Business Tax Credit Status |
North Carolina | November 14, 2007 |
| Facing Page Application For Qualification Of The Offer And Sale Of Securities Under The Corporate Securities Law Of 1968 |
California | October 26, 2007 |
| Wisconsin Broker-Dealer Licensing Procedures |
Wisconsin | October 18, 2007 |
| Designated Salesman Training Certification |
Georgia | October 11, 2007 |
| Designated Dealer Notification |
Georgia | October 11, 2007 |
| Issuers Bond |
Georgia | October 11, 2007 |
| Public Complaint Form |
Georgia | October 11, 2007 |
| Securities Salesmans Bond |
Georgia | October 11, 2007 |
| Statement Demonstrating Eligibility For Registration By Notification |
Georgia | October 10, 2007 |
| SEC Coordinated Filing Exemption Document And Disclosure Checklist |
Georgia | October 10, 2007 |
| Georgia Coordination And Regulation A Filings Application To Register Securities |
Georgia | October 10, 2007 |
| Document And Disclosure Checklist Uniform Limited Offering Exemption Filing |
Georgia | October 10, 2007 |
| Dealers Bond |
Georgia | October 10, 2007 |
| Connecticut Form U-1 Supplement For EDGAR Filers |
Connecticut | September 14, 2007 |
| Maryland Limited Offering Exemption Under Maryland Securities Act |
Maryland | August 8, 2007 |
