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IA- North Carolina Investment Adviser Rep. Registration Requirements Guide

IA- North Carolina Investment Adviser Rep. Registration Requirements Guide

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IA- North Carolina Investment Adviser Registration Requirements Guide

IA- North Carolina Investment Adviser Registration Requirements Guide

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BD- North Carolina Dealer Registration Requirements Guide

BD- North Carolina Dealer Registration Requirements Guide

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BD- SEC Form Custody

BD- SEC Form Custody

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BD- Broker-Dealer SEC Form BD-N

BD- Broker-Dealer SEC Form BD-N

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IA- SEC Form ADV-E

IA- SEC Form ADV-E

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IA- SEC Form ADV-W

IA- SEC Form ADV-W

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BD- FINRA Regulation Best Interest and Form CRS Firm Checklist

BD- FINRA Regulation Best Interest and Form CRS Firm Checklist

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IA- SEC Form ADV Execution Page

IA- SEC Form ADV Execution Page

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Connexien

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IA- SEC Form ADV Part 2

IA- SEC Form ADV Part 2

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Connexien

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IA- SEC Form ADV Part 1A & Part 1B

IA- SEC Form ADV Part 1A & Part 1B

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IA- SEC Form ADV Parts 1 & 2 General Instructions

IA- SEC Form ADV Parts 1 & 2 General Instructions

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BD- California Index of Fees, Fines and Penalties (Form 510)

BD- California Index of Fees, Fines and Penalties (Form 510)

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BD- FINRA Mutual Fund Breakpoints Worksheet Template

BD- FINRA Mutual Fund Breakpoints Worksheet Template

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BD- FINRA Mutual Fund Breakpoints Checklist Template

BD- FINRA Mutual Fund Breakpoints Checklist Template

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IA- 2019 Investment Adviser Year-End Compliance Checklist

IA- 2019 Investment Adviser Year-End Compliance Checklist

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BD- 2019 Broker-Dealer Year-end Compliance Checklist

BD- 2019 Broker-Dealer Year-end Compliance Checklist

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BD- 2019 Broker-Dealer Year-end Compliance Checklist

BD- 2019 Broker-Dealer Year-end Compliance Checklist

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BD- Broker-Dealer Outside Business Activity (OBA) Tracking Log

BD- Broker-Dealer Outside Business Activity (OBA) Tracking Log

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Connexien

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BD- Broker-Dealer Quarterly Financial Reporting Checklist

BD- Broker-Dealer Quarterly Financial Reporting Checklist

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IA- Investment Adviser New Hire Due Diligence Form

IA- Investment Adviser New Hire Due Diligence Form

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Connexien

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IA- Investment Adviser New Hire Onboarding Compliance Checklist

IA- Investment Adviser New Hire Onboarding Compliance Checklist

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IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

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Connexien

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IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

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IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)

IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)

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Connexien

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IA- Investment Adviser Privacy Policy Statement Notification

IA- Investment Adviser Privacy Policy Statement Notification

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Connexien

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IA- Identity Theft Red Flags Event Disclosure Log

IA- Identity Theft Red Flags Event Disclosure Log

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Connexien

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IA- North Carolina Investment Adviser Surety Bond Form

IA- North Carolina Investment Adviser Surety Bond Form

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Connexien

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IA- North Carolina Ten Common Violations of the NC Investment Adviser’s Act

IA- North Carolina Ten Common Violations of the NC Investment Adviser’s Act

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IA- North Carolina Investment Adviser Books and Records Document Request

IA- North Carolina Investment Adviser Books and Records Document Request

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Connexien

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IA- Standard Financial Planning Agreement with Fee Schedule Exhibit

IA- Standard Financial Planning Agreement with Fee Schedule Exhibit

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Connexien

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IA- Written Policies and Procedures Compliance Attestation

IA- Written Policies and Procedures Compliance Attestation

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Connexien

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IA- Investment Adviser Political Contributions Log

IA- Investment Adviser Political Contributions Log

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Connexien

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IA- Investment Adviser Political Contribution Disclosure Statement

IA- Investment Adviser Political Contribution Disclosure Statement

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Connexien

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IA- Outside Business Activities (OBA) Disclosure Statement

IA- Outside Business Activities (OBA) Disclosure Statement

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Connexien

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IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)

IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)

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Connexien

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