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