| Title | State |
Last Updated |
| Certification And Authorization Form For A Criminal History Background Check |
New Jersey | November 21, 2014 |
| Request For Special Consideration Of A Registration Application (Military) |
Texas | November 18, 2014 |
| Additional Information Required For Registration As An Investment Advisor |
Illinois | October 10, 2014 |
| Solicitation Of Interest |
Oregon | October 7, 2014 |
| Representative Termination |
Oregon | October 7, 2014 |
| Notice Of Transaction Pursuant To Corporations Code Section 25102(f) |
California | September 15, 2014 |
| Investment Adviser Fiscal Year End Report |
Washington | September 5, 2014 |
| Registered Securities Principal - Applicant Certification (Non FINRA Firm) |
Oklahoma | August 28, 2014 |
| 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 |
| Post Sale Registration Certification By Business Opportunity Seller |
Connecticut | May 13, 2014 |
| Trade Or Assumed Name Notification |
Connecticut | May 13, 2014 |
| Complaint Form |
Alabama | April 4, 2014 |
| Complaint Form |
Ohio | April 3, 2014 |
| Uniform Consent To Service Of Process |
Wisconsin | April 2, 2014 |
| Broker-Dealer Bond (Broker-Dealer And Investment Adviser Surety Bond) |
South Carolina | April 2, 2014 |
| Proof Of SLED Records Check |
South Carolina | April 2, 2014 |
| Verification Form |
South Carolina | April 2, 2014 |
| Connecticut Supplement For State-Regulated Investment |
Connecticut | March 20, 2014 |
| Notice Of Exchange Transaction |
California | March 13, 2014 |
| Exemption Form For Franchisor To An Existing Franchisee Pursuant To GBL 684(3)(d) |
New York | March 6, 2014 |
| Franchise-Related Complaint Form |
New York | March 6, 2014 |
| Uniform Branch Office Registration Form |
Tennessee | February 10, 2014 |
| Broker-Dealer Withdrawel |
Tennessee | February 10, 2014 |
| Broker-Dealer And Agent Registration And Instructions |
Tennessee | February 10, 2014 |
| Surety Bond |
Arkansas | January 28, 2014 |
| Issuer Agent Renewal |
Michigan | January 9, 2014 |
| Securities Complaint Form |
Michigan | January 9, 2014 |
| Renewal Application For Debt Management License |
Michigan | January 9, 2014 |
| Debt Management Act Affidavit Of Character |
Michigan | January 9, 2014 |
| Debt Management Termination Notification |
Michigan | January 9, 2014 |
| Personal Balance Sheet |
Michigan | January 9, 2014 |
| Debt Management Employment Notification |
Michigan | January 9, 2014 |
| Debt Management Bond For Licensee |
Michigan | January 9, 2014 |
| Statement Of Transferee To Accompany Application For Consent To Transfer Securities |
California | December 9, 2013 |
| Real Estate Related Information Required Pursuant To Corporations Code Section 25102.2 |
California | December 9, 2013 |
| Notice To California Commissioner Of Corporations Of Transaction |
California | December 9, 2013 |
| Second Notice Of Transaction Pursuant To Corporations Code Section 25102(n) |
California | December 9, 2013 |
| Request For Order Of Exemption Pursuant To Subdivision 1 Of Section 25100 |
California | December 9, 2013 |
| Notice Of Issuance Of Shares |
California | December 9, 2013 |
| Notice Of Issuance Of Securities Pursuant To Subdivision (o) Of Section 25102 |
California | December 9, 2013 |
| First Notice Of Transaction Pursuant To Corporations Code Section 25102(n) |
California | December 9, 2013 |
| Consent To Service Of Process |
California | December 9, 2013 |
| Instructions For Application For Qualification Of Recapitalizations And Reorganizations |
California | December 9, 2013 |
| Instructions For Application For Qualification Of Issuers Transactions By Notification |
California | December 9, 2013 |
| Application For Consent To Transfer Securities Pursuant To Section 25151 |
California | December 9, 2013 |
| Application For Approval As To Form An Offer To Repurchase A Security |
California | December 9, 2013 |
