Investment Adviser
This license authorizes the holder to render investment advice with respect to securities, for compensation.

Federal Covered Adviser
This license authorizes the holder to render investment advice with respect to securities, for compensation. The firm is registered with the SEC as an Investment Adviser.

Forms and Instructions

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Investment Adviser

• Investment Adviser Requirements for Application and to Maintain Registration

• Form ADV (Uniform Application for Investment Adviser Registration)

• ADV Cover Page

• Associated Person of Investment Adviser Application Requirements

• Form U-4 (Uniform Application for Securities Industry Registration or Transfer)

• Fingerprint Card (FL 921250Z) [Not available on-line] Contact Us to Request

• Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser)

• Form U-5 (Uniform Termination Notice for Securities Industry Registration)

• Guidelines for Requesting Change of Control

Federal Covered Adviser

• Federal Covered Adviser Requirements for Application and to Maintain Compliance

• Form ADV (Uniform Application for Investment Adviser Registration)

• Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser)