Important Consumer Information
- A broker-dealer, investment advisor, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualification requirements of that state, or only if they are excluded or exempt from the state's broker-dealer, investment advisor, BD agent or IA rep requirements, as the case may be.
- Follow-up, individualized responses to consumers in a particular state by broker-dealer, investment advisor, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker-dealer, investment advisor, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
- For information concerning the licensure status or disciplinary history of a broker-dealer, investment advisor, BD agent or IA rep, a consumer should contact his or her state securities law administrator.