Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
This is an:
INITIAL or
AMENDED Schedule D or
ANNUAL UPDATE
SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted
List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.
SECTION 1-D Additional Registrations of the Applicant
Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.
SECTION 1-E Additional Offices at which the Applicant’s Municipal Advisor-Related Business is Conducted
Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant’s municipal advisor-related business is conducted other than applicant’s principal office and place of business. A separate Schedule D must be completed for each such office.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
A private residential address will not be included in publicly available versions of this registration form.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
A private residential address will not be included in publicly available versions of this registration form.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
A private residential address will not be included in publicly available versions of this registration form.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
A private residential address will not be included in publicly available versions of this registration form.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
A private residential address will not be included in publicly available versions of this registration form.
SECTION 1-F Additional Website Addresses
List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
SECTION 1-I Location of Books and Records
Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Name of entity where books and records are kept:
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
![checkbox checked](/Images/box-checked.jpg)
one of applicant’s branch offices or
affiliates.
![checkbox unchecked](/Images/box-unchecked.jpg)
a third-party unaffiliated record keeper.
![checkbox unchecked](/Images/box-unchecked.jpg)
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Name of entity where books and records are kept:
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
![checkbox checked](/Images/box-checked.jpg)
one of applicant’s branch offices or
affiliates.
![checkbox unchecked](/Images/box-unchecked.jpg)
a third-party unaffiliated record keeper.
![checkbox unchecked](/Images/box-unchecked.jpg)
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Name of entity where books and records are kept:
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
![checkbox unchecked](/Images/box-unchecked.jpg)
one of applicant’s branch offices or
affiliates.
![checkbox checked](/Images/box-checked.jpg)
a third-party unaffiliated record keeper.
![checkbox unchecked](/Images/box-unchecked.jpg)
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Name of entity where books and records are kept:
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
![checkbox unchecked](/Images/box-unchecked.jpg)
one of applicant’s branch offices or
affiliates.
![checkbox checked](/Images/box-checked.jpg)
a third-party unaffiliated record keeper.
![checkbox unchecked](/Images/box-unchecked.jpg)
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Name of entity where books and records are kept:
Is this address a private residence?
![checkbox unchecked](/Images/box-unchecked.jpg)
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
![checkbox unchecked](/Images/box-unchecked.jpg)
one of applicant’s branch offices or
affiliates.
![checkbox checked](/Images/box-checked.jpg)
a third-party unaffiliated record keeper.
![checkbox unchecked](/Images/box-unchecked.jpg)
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.
SECTION 1-J Registration with Foreign Financial Regulatory Authorities
List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
English Name of Foreign Financial Regulatory Authority:
Foreign Registration No. (if any):
English Name of Country:
UNITED KINGDOM
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
English Name of Foreign Financial Regulatory Authority:
Foreign Registration No. (if any):
English Name of Country:
INDIA
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
English Name of Foreign Financial Regulatory Authority:
Foreign Registration No. (if any):
English Name of Country:
CHINA
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
English Name of Foreign Financial Regulatory Authority:
Foreign Registration No. (if any):
English Name of Country:
CHINA
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
English Name of Foreign Financial Regulatory Authority:
Foreign Registration No. (if any):
English Name of Country:
AUSTRALIA
SECTION 1-K Business Affiliates of the Applicant
Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button checked](/Images\radio-checked.jpg)
Yes
![radio button unchecked](/Images\radio-unchecked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox checked](/Images/box-checked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button unchecked](/Images\radio-unchecked.jpg)
Yes
![radio button checked](/Images\radio-checked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox unchecked](/Images/box-unchecked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button checked](/Images\radio-checked.jpg)
Yes
![radio button unchecked](/Images\radio-unchecked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox checked](/Images/box-checked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button unchecked](/Images\radio-unchecked.jpg)
Yes
![radio button checked](/Images\radio-checked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox unchecked](/Images/box-unchecked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button unchecked](/Images\radio-unchecked.jpg)
Yes
![radio button checked](/Images\radio-checked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox unchecked](/Images/box-unchecked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button unchecked](/Images\radio-unchecked.jpg)
Yes
![radio button checked](/Images\radio-checked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox unchecked](/Images/box-unchecked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button unchecked](/Images\radio-unchecked.jpg)
Yes
![radio button checked](/Images\radio-checked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox unchecked](/Images/box-unchecked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button checked](/Images\radio-checked.jpg)
Yes
![radio button unchecked](/Images\radio-unchecked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox checked](/Images/box-checked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?
![radio button unchecked](/Images\radio-unchecked.jpg)
Yes
![radio button checked](/Images\radio-checked.jpg)
No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
![checkbox unchecked](/Images/box-unchecked.jpg)
US Federal
![checkbox unchecked](/Images/box-unchecked.jpg)
US State or Other US Jurisdiction:
(specify):
![checkbox unchecked](/Images/box-unchecked.jpg)
Foreign Country Name (in English):
(specify):
SECTION 3 Successions
Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.
SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant’s Behalf
Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant’s behalf. A separate Schedule D must be completed for each such firm or natural person.
SECTION 4-E Employees That Also Do Business Independently on the Applicant’s Behalf as Affiliates of the Applicant
SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)
If you checked Item 5-B.2 describe the applicant’s primary business (not the applicant’s municipal advisor-related business):
SECTION 6 Financial Industry and Other Activities of Associated Persons
The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWITZERLAND
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SAUDI ARABIA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SAUDI ARABIA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox checked](/Images/box-checked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
HONG KONG
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox checked](/Images/box-checked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox checked](/Images/box-checked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ONTARIO, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
QUEBEC, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ALBERTA, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRITISH COLUMBIA, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MANITOBA, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NOVA SCOTIA, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NEWFOUNDLAND, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SASKATCHEWAN, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NEW BRUNSWICK, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
PRINCE EDWARD ISLAND, CANADA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL)
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL)
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL)
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
TAIWAN, PROVINCE OF CHINA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
HONG KONG
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
HONG KONG
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SINGAPORE
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox checked](/Images/box-checked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox checked](/Images/box-checked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JAPAN
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JAPAN
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
AUSTRALIA
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ISLE OF MAN
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox checked](/Images/box-checked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox checked](/Images/box-checked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox checked](/Images/box-checked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox checked](/Images/box-checked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox unchecked](/Images/box-unchecked.jpg)
Add
![checkbox checked](/Images/box-checked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox checked](/Images/box-checked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(2) Investment company (including mutual funds)
![checkbox checked](/Images/box-checked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:
![checkbox checked](/Images/box-checked.jpg)
Add
![checkbox unchecked](/Images/box-unchecked.jpg)
Delete
![checkbox unchecked](/Images/box-unchecked.jpg)
Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
![checkbox checked](/Images/box-checked.jpg)
(2) Investment company (including mutual funds)
![checkbox unchecked](/Images/box-unchecked.jpg)
(3)
Investment adviser (including financial planners)
![checkbox unchecked](/Images/box-unchecked.jpg)
(4) Swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(5) Security-based swap dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(6) Major swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(7) Major security-based swap participant
![checkbox unchecked](/Images/box-unchecked.jpg)
(8) Commodity pool operator (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(9) Commodity trading advisor (whether registered or exempt from registration)
![checkbox unchecked](/Images/box-unchecked.jpg)
(10) Futures commission merchant
![checkbox unchecked](/Images/box-unchecked.jpg)
(11) Banking or thrift institution
![checkbox unchecked](/Images/box-unchecked.jpg)
(12) Trust company
![checkbox unchecked](/Images/box-unchecked.jpg)
(13) Accountant or accounting firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(14) Attorney or law firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(15) Insurance company or agency
![checkbox unchecked](/Images/box-unchecked.jpg)
(16) Pension consultant
![checkbox unchecked](/Images/box-unchecked.jpg)
(17) Real estate broker or dealer
![checkbox unchecked](/Images/box-unchecked.jpg)
(18) Sponsor or syndicator of limited partnerships
![checkbox unchecked](/Images/box-unchecked.jpg)
(19) Engineer or engineering firm
![checkbox unchecked](/Images/box-unchecked.jpg)
(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) Are the applicant and the
associated person under common
control?
![checkbox checked](/Images/box-checked.jpg)
Yes
![checkbox unchecked](/Images/box-unchecked.jpg)
No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?
![checkbox unchecked](/Images/box-unchecked.jpg)
Yes
![checkbox checked](/Images/box-checked.jpg)
No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)
Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.
Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.
(1) Full legal name of the public reporting company:
(2) The public reporting company’s EDGAR CIK number:
(3) The Schedules where the public reporting company was reported: Check all that apply.
![checkbox unchecked](/Images/box-unchecked.jpg)
Schedule A
![checkbox checked](/Images/box-checked.jpg)
Schedule B
![checkbox unchecked](/Images/box-unchecked.jpg)
Schedule C, Section 4
![checkbox unchecked](/Images/box-unchecked.jpg)
Schedule C, Section 5
![checkbox unchecked](/Images/box-unchecked.jpg)
Schedule D, Section 8-A
Schedule D: MISCELLANEOUS
The space below may be used to explain a response to an Item or to provide any other information.
Item 1.I Location of Books and Records - For a more complete listing of the locations where some or all of the Applicant's books and records required to be kept under MSRB rules and SEC rules may be held, please see Section 1.L of Schedule D of BlackRock Financial Management, Inc.'s Form ADV.
Item 4.B Employees engaged in Municipal Advisory Activities - Some of the employees included in the count are employees of an affiliated BlackRock entity who have been made dual-hatted officers of the Applicant.
Item 6. A number of BlackRock US-registered investment adviser subsidiaries have been engaged as investment advisers to BlackRock-sponsored registered investment companies (RICs). Filings for these RICs are readily available on the SEC's website. To the extent that BlackRock seed capital represents less than 25% of the voting securities of any class of shares, these RICs are not considered controlled entities for purposes of this filing.
Item 5.A.13 Other Business Activities, banking or thrift institution - Applicant is a national banking association which operates as a limited purpose trust company.