| Title | State |
Last Updated |
| Affidavit Of Broker-Dealer Activity |
North Dakota | July 30, 2019 |
| Notice Of Claim Of Exemption From Registration For Certain Municipal Securities |
Colorado | June 24, 2019 |
| State Retirement System Investment Officer |
Ohio | June 4, 2019 |
| Report Of Sale Of Securities |
Ohio | June 4, 2019 |
| Registration By Description {6(A)(1)} |
Ohio | June 4, 2019 |
| Irrevocable Consent To Service Of Process By Non-Resident Applicant |
Ohio | June 4, 2019 |
| Filing Of Information Pertaining To A Control Bid |
Ohio | June 4, 2019 |
| Dealer Questionnaire And Affidavit Prior Sales |
Ohio | June 4, 2019 |
| Application To Register By Qualification Securities Pursuant To Section 1707.09 |
Ohio | June 4, 2019 |
| Application For Approval Of Corporate Reorganization |
Ohio | June 4, 2019 |
| Personal Balance Sheet |
Michigan | May 14, 2019 |
| Uniform Application To Register Securities |
Wisconsin | March 20, 2019 |
| Wisconsin Broker Dealer Activity Of Applicant |
Wisconsin | March 12, 2019 |
| Wisconsin Investment Advisory Activity Of Applicant |
Wisconsin | March 12, 2019 |
| Wisconsin Agent For Issuer U4 Supplemental Information |
Wisconsin | March 12, 2019 |
| Solicitation Of Interest |
Wisconsin | March 12, 2019 |
| Securities Agent Simultaneous Licensure Disclosure Application |
Wisconsin | March 12, 2019 |
| Investment Adviser Designation Of Supervisor |
Wisconsin | March 12, 2019 |
| Financial Certification |
Wisconsin | March 12, 2019 |
| Broker-Dealer Application Requirements And Cover Sheet |
Indiana | June 12, 2018 |
| Pre-Need Funeral Contract Sales Annual Report |
North Dakota | March 30, 2018 |
| Notice Of Sale Of Securities |
Mississippi | March 30, 2018 |
| Impoundment Agreement |
North Dakota | May 19, 2017 |
| Complaint Report (Investor) |
Washington | May 1, 2017 |
| Public Records Request |
Washington | May 1, 2017 |
| Notification Of Claim Exemption (Nonprofit Organization) |
Washington | May 1, 2017 |
| Debenture Company Quarterly Report Form |
Washington | May 1, 2017 |
| Guarantee Of Performance (Franchise) |
Washington | May 1, 2017 |
| Franchise Registration Application |
Washington | May 1, 2017 |
| Franchise Impound Agreement |
Washington | May 1, 2017 |
| Annual Notice Of Claim Of Exemption (Franchise) |
Washington | May 1, 2017 |
| Application For Franchise Broker License |
Washington | May 1, 2017 |
| Business Opportunity Application |
Washington | May 1, 2017 |
| Statement Of Claim For Exemption Of Securities Of New Generation Processing Entity |
Missouri | February 28, 2017 |
| Form Of Prospectus For Registration Of Securities By Qualification |
Missouri | February 28, 2017 |
| Broker Dealer Affidavit |
Missouri | February 28, 2017 |
| Debt Management Deposit Of Cash Or Securities In Lieu Of Bond |
Michigan | November 30, 2016 |
| 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 |
| 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 |
