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A broker/dealer, investment advisor, broker/dealer representative or investment advisor representative may only transact business in a particular state after licensure or satisfying qualification requirements of that state, or only if they are excluded or exempted from the state's broker/dealer, investment advisor, or broker/dealer representative or investment advisor representative requirements, as the case may be. Neither may they follow-up individualized responses to consumers in a particular state that
For information concerning the license status or disciplinary history of a broker/dealer, investment advisor, broker/dealer representative or investment advisor representative, a consumer should contact his or her state securities law administrator.
Investment products and services and fee-based investment advisory services (if offered) are available only to residents of Arizona, California, Connecticut, Idaho, Nevada, New York, Pennsylvania, Utah, and Vermont.