A broker/dealer, investment advisor, broker/dealer representative or investment advisor representative may only transact business in a particular state in the U.S. after licensure or satisfying qualification requirements of that state, or only if they are excluded or exempted from the state’s broker/dealer, investment advisor, or broker/dealer representative or investment advisor representative requirements, as the case may be.  Neither may they follow-up individualized responses to consumers in a particular state that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, without first complying with the state’s broker/dealer, investment advisor, broker/dealer representative or investment advisor representative requirements, or pursuant to an applicable state exemption or exclusion.

For information concerning the license status or disciplinary history of a broker/dealer, investment advisor, broker/dealer representative or investment advisor representative, a consumer should contact his or her state securities law administrator.

Investment products and services and fee-based investment advisory services (if offered) are available only to residents of AK, AZ, CA, ID, KY, MA, ND, OR, PA, TN, TX, WA."


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