| Title | State |
Last Updated |
| Investment Advisor Supplemental Application Form |
Michigan | November 30, 2016 |
| Debt Management Fee Processing Card |
Michigan | November 30, 2016 |
| Debt Management Financial Statement |
Michigan | November 30, 2016 |
| Debt Management Act Business History Form |
Michigan | November 30, 2016 |
| Alternative Bond In Lieu Of Michigan Based Trust Account |
Michigan | November 30, 2016 |
| Debt Management Employment List |
Michigan | November 30, 2016 |
| Debt Management Applicants Consent To Service Of Process |
Michigan | November 30, 2016 |
| Non FINRA Broker Dealer Renewal |
Michigan | November 30, 2016 |
| Indefinite Mutual Fund Sales Report |
Nebraska | November 30, 2016 |
| Indefinite UIT Sales Report |
Nebraska | November 30, 2016 |
| Registration Statement To Register Securities By Qualification |
Nebraska | November 30, 2016 |
| Broker-Dealer Corporate Resolution Form |
Nebraska | November 30, 2016 |
| Designation Of Investment Adviser Representatives |
Nebraska | November 30, 2016 |
| Bond Form - Bureau Of Securities |
Nebraska | November 30, 2016 |
| Affidavit Of Broker Dealer Activity In Nebraska |
Nebraska | November 30, 2016 |
| Affidavit Of Investment Advisory Activity In Nebraska |
Nebraska | November 30, 2016 |
| Surety Bond (30K) |
Mississippi | November 30, 2016 |
| Surety Bond (10K) |
Mississippi | November 30, 2016 |
| Complaint Form |
Vermont | August 23, 2016 |
| Statement Of Issuer |
South Dakota | August 4, 2016 |
| Solicitation Of Interest Form (Application For Testing Waters For Private Placements) |
South Dakota | August 4, 2016 |
| Quarterly And Or Final Report Of Sales Of Security |
South Dakota | August 4, 2016 |
| Model Accredited Investor Exemption Uniform Notice Of Transaction (Application For Filing Accredited Investor Exemption) |
South Dakota | August 4, 2016 |
| Issuer Report Of Sales In Limited Offerings |
South Dakota | August 4, 2016 |
| Waiver Eligibility Certification For Filing Of Annual Report Of Condition By Dealers Registered In Hawaii |
Hawaii | August 1, 2016 |
| Consent To Service Of Process (Franchise) |
Hawaii | August 1, 2016 |
| Viatical Disclosure Document II |
Maine | July 27, 2016 |
| Viatical Disclosure Document I |
Maine | July 27, 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 |
| Corporate Resolution |
Florida | March 30, 2016 |
| Small Corporate Offering Registration Application To Register Securities |
Florida | March 30, 2016 |
| Application For Registration Of Securities |
Florida | March 30, 2016 |
| Charitable Organizations Application |
Rhode Island | March 30, 2016 |
| Application For Fundraising Counsel |
Rhode Island | March 30, 2016 |
| Application For Professional Fundraiser |
Rhode Island | March 30, 2016 |
| Application For Professional Solicitor |
Rhode Island | March 30, 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 |
| Uniform Consent To Service Of Process |
Florida | March 30, 2016 |
| Exhibit I (General Issue) |
Florida | March 30, 2016 |
| Issuer Dealer Compliance Form |
Florida | March 30, 2016 |
| Additional Information For Registration As Securities Dealer |
Illinois | March 30, 2016 |
| Dual Registration As An Investment Adviser Representative And Salesperson |
Illinois | March 30, 2016 |
| Application For Registration As A Loan Broker |
Illinois | March 30, 2016 |
